SALLAH ASTARITA & COX - Key Persons
Job Titles:
- Partner
- Member of the Florida
- Securities
Mr. Sallah is an AV Preeminent® rated attorney who concentrates on securities and commodity futures regulation and enforcement, broker-dealer compliance and defense, receivership litigation, whistleblower claims, securities arbitration, and business litigation.
Since leaving the Securities and Exchange Commission in 2004, Mr. Sallah has represented national and regional brokerage firms, as well as publicly traded companies and individuals, in a variety of matters, including SEC, FINRA, stock exchange, and state regulatory investigations, Congressional Sub-Committee investigations and hearings, internal investigations, federal and state lawsuits, administrative actions, and arbitrations. He has successfully handled matters through trial, arbitration, and regulatory enforcement proceedings.
Mr. Sallah's reputation as a securities lawyer is recognized among his peers. Each year since 2011, he has been selected as a Florida Super Lawyer in the area of Securities Litigation and among Florida Trend's Legal Elite. Moreover, Mr. Sallah has been recognized in the South Florida Legal Guide each year since 2008 in the field of Securities Litigation and Arbitration. In 2009 the Daily Business Review selected Mr. Sallah as the "Most Effective Lawyer" in South Florida in the area of Securities Law.
Before entering private practice, Mr. Sallah was a Senior Counsel in the SEC's Division of Enforcement in Miami, Florida. During his tenure at the SEC, Mr. Sallah handled investigations and litigation in both federal court and administrative forums, including cases involving fraudulent securities offerings, Ponzi schemes, market manipulations, municipal bonds, research analyst conflicts, public company disclosure and periodic reports, and broker-dealer and investment adviser regulation.
Mr. Sallah is a member of the Florida and Colorado Bar Associations. He is admitted to practice in the state courts of both, as well as the U.S. District Court for the Southern, Middle, and Northern Districts of Florida, the Eastern District of Michigan, and the Northern District of Illinois.
Job Titles:
- Partner
- SEC Senior Counsel
Mr. Cox is an AV Preeminent® rated attorney who concentrates in the areas of white collar investigations and proceedings, securities and other financial services regulation and enforcement, receivership litigation, complex civil litigation, securities arbitration, and whistleblower claims.
Before becoming a founding partner, Mr. Cox served as a federal prosecutor (Assistant United States Attorney), a Senior Counsel for the SEC's Division of Enforcement, and as a Special Assistant United States Attorney for the SEC responsible for prosecuting SEC cases. As a federal prosecutor, Mr. Cox was responsible for leading complex investigations and prosecutions involving white collar criminal offenses such as securities fraud, money laundering, tax evasion, and mail, wire, and bank fraud, among others. While at the SEC, Mr. Cox investigated and litigated civil enforcement and administrative proceedings involving violations of the federal securities laws, including insider trading, corporate and offering fraud, and market manipulation.
With trial experience in both civil and criminal matters, Mr. Cox has represented individuals and entities nationwide in investigations and/or proceedings involving the DOJ, SEC, FINRA, CFTC, FTC, Congressional subcommittees, and various states. Mr. Cox has also has been involved in numerous receivership actions and served as the lead counsel to a Court-appointed Receiver in connection with an $80 million Ponzi scheme. He represents investors and professionals in complex civil actions. Since entering private practice, he has been recognized by his peers with an AV Preeminent® rating through Martindale-Hubbell, in Florida Trend's Florida Legal Elite, in South Florida Legal Guide, and as a Florida Super Lawyer. Mr. Cox teaches White Collar Crime at FIU Law School.
Mr. Cox is a Past President of the Rotary Club of Fort Lauderdale/Cypress Creek, 2017-2018. He has also served as the president of the Rotary Club of Fort Lauderdale/Cypress Creek Charitable Fund, Inc., 2018-2019
Job Titles:
- of Counsel
- Member of the Florida Bar
- Securities
Practice Areas
Securities Regulation & Enforcement
Mr. Katz became a member of the Florida Bar in 2004 and is admitted to practice in the state courts of Florida and the U.S. District Court for the Southern District of Florida. Member of the Middle and Northern Districts of Florida.
Mr. Astarita is an AV Preeminent® rated attorney who concentrates on securities and commodity futures regulation and enforcement, broker-dealer compliance and defense, receivership litigation, whistleblower claims, securities arbitration, and business formation, shareholder agreements and related litigation.
In addition, Mr. Astarita has extensive experience in the representation of Internet based businesses, including content providers, online trading platforms and podcast promoters and sponsors.
After graduating law school in 1981 Mr. Astarita joined a boutique securities litigation firm on Wall Street, representing national and regional brokerage firms, as well as publicly traded companies and individuals, in a variety of matters, including SEC, FINRA, stock exchange, and state regulatory investigations, federal and state lawsuits, administrative actions, and arbitrations. In 2000 he formed a new firm with a white-collar criminal attorney, and in 2013 he joined Sallah Astarita & Cox, LLC. He has successfully handled matters in state and federal courts, arbitrations and regulatory enforcement proceedings in 23 states, including over 600 arbitrations, during his career.
During his career, Mr. Astarita has represented over 60 brokerage firms and hundreds of financial professionals in their regulatory, litigation and employment issues. Mr. Astarita's experience and knowledge of this highly specialized area of employment law enables him to provide guidance and assistance, to firms as well as professionals, in the negotiation of compensation packages and upfront loans, as well as severance agreements, promissory note settlements and restructuring, and non-compete waivers. Mr. Astarita has negotiated broker compensation agreements for individuals with every major Wall Street firm.
Mr. Astarita's reputation as a securities lawyer is recognized among his peers and the media. He has been an AV rated attorney every year for the last 25 years. Various media sources have relied upon Mr. Astarita for commentary on issues relating to the securities laws and online legal issues, and he has been quoted in a number of publications, including the Wall Street Journal, The New York Times, Fortune Magazine, Forbes Magazine, The Los Angeles Times, The New York Law Journal, Ticker Magazine, Research Magazine, Registered Representative, On Wall Street, InvestmentNews.com, The Recorder, Legal Times, the New Jersey Star Ledger, the Internet Compliance Reporter, Investment Dealers' Digest, Compliance Reporter, Financial NetNews, Securities Industry Daily, the Bergen Record and the New York Post.
Job Titles:
- Funds Compliance Attorney