James D. Sallah
Top rated Securities Litigation attorney in Boca Raton, Florida
Sallah Astarita & Cox, LLC
Practice Areas: Securities Litigation, White Collar Crimes
Licensed in Florida since: 1996
Education: University of Miami School of Law
Selected to Super Lawyers: 2011 - 2024 Sallah Astarita & Cox, LLC
3010 N Military TrailSuite 210
Boca Raton, FL 33431 Phone: 561-989-9080 Email: James D. Sallah Visit website
Details
James Sallah is a former SEC enforcement attorney with extensive experience representing clients in SEC, CFTC, FINRA, and NFA regulatory investigations. Mr. Sallah also routinely handles securities and commodities litigation and enforcement proceedings in federal and state court, and arbitrations on behalf of individuals and entities nationwide. In 2011, he successfully defended a client against the SEC in a two-week jury trial in federal court in Miami. Mr. Sallah is a member of the Florida and Colorado Bars and is admitted to practice in several districts. He is a graduate of the University of Miami School of Law, where he currently serves as an adjunct professor teaching a seminar in SEC Enforcement and Litigation.
First Admitted: 1996, Florida
Professional Webpage: http://www.sallahcox.com/lawyer-attorney-1277106.html
Honors/Awards:
- SEC Southeast Regional Office's 2001 nominee for the Ellen Ross Award (honors Enforcement attorney ho demonstrates exemplary commitment, enthusiasm, and performance) , Ellen Ross Award
- * AV Preeminent® - AV Preeminent® is a significant rating accomplishment - a testament to the fact that a lawyer's peers rank him or her at the highest level of professional excellence., Martindale-Hubbell® * Received SEC Chairman's Award for Excellence in 2002 from former SEC Chairman Harvey Pitt
Bar/Professional Activity:
- Commissioner, Judicial Nominating Commission, Fifteenth Judicial Circuit (Palm Beach County, Florida)
- Vice-Chair Grievance Committee
Educational Background:
- University of Miami School of Law, 1996
- Ohio University, M.A. , 1993
Other Outstanding Achievements:
- Daily Business Review Most Effective Lawyer in the Area of Securities Litigation, 2009
Verdicts/Settlements (Case Results):
- Represented Miami doctor in an insider trading case brought by the SEC in federal court. After a two-week jury trial, the doctor was found not liable - SEC v. De La Maza, et al., Case No. 09-21977 (S.D. Fla.), 2011
- Defense judgment in state court in favor of four departing brokers sued by a large, multi- national brokerage firm for violation of restrictive covenants
- Defense of high-profile South Florida businessman in SEC insider trading investigation (declination letter by SEC)
- Defense of CFO of publicly-traded company in SEC investigation of his conduct following company's restatement of earnings (declination letter by SEC)
- Defense of a large regional brokerage firm in SEC investigation of firm's institutional trading desk, market making activities, and syndicate department (declination letter by SEC)
- Represented multiple claimants/plaintiffs in multi-week FINRA arbitration hearing resulting in $7.5 million dollar award against the broker – Paula Casper, et al. v. Gary Gross, FINRA Case No. 07-00624.
- Represented nominee for Commissioner of Financial Regulation for the State of Florida in FINRA Enforcement Hearing - Dept. of Enforcement v. Carreno, No. 2006005546007. All claims against Respondent were dismissed, with prejudice.
- Successfully argued dismissal of shareholder suit in federal court alleging insider trading Kamin, et al. v. Acord, et al., Case No. 09-22829-Civ-Jordan (S.D. Fla.)
- Successfully negotiated dismissal of SEC complaint on behalf of relief defendant following filing of enforcement action – SEC v. ECareer Holdings, Inc., et al., Case No. 15-80446-Civ-Cohn/Seltzer (S.D. Fla.)
- Represented whistleblower in matter that led to SEC enforcement action against two large brokerage-firms; whistleblower awarded maximum amount available (30%) to whistleblowers under SEC guidelines.
Scholarly Lectures/Writings:
- Using a Rare Receiver Tool To Give Investors a New HopeFor the nearly 400 investors of social gaming company Stocket, one day in June 2018 felt like the end of the world when theFBI raided Stocket’s office and exposed a fraud scheme that had taken the investors for millions of dollars. The company’s office had almost nothing left after the FBI confiscated the books, records and computers—leaving only a soon-to-be expired patent for a gaming application. , Author, https://www.sallahlaw.com/files/the-nafer.pdf, The NAFER RECEIVER - Official Publication of the National Association of Federal Equity Receivers, 2021
- Teach a class on the SEC Enforcement Process, Adjunct Professor - University of Miami School of Law
Industry Groups:
- Broker-dealers
- Hedge Funds
- Investment Advisors
- Public And Private Companies
Office location for James D. Sallah
3010 N Military Trail
Suite 210
Boca Raton, FL 33431
Selections
14 Years Super Lawyers
- Super Lawyers: 2011 - 2024