Former SEC Prosecutors for Investors

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James D. Sallah

Professional Experience

Mr. Sallah concentrates on Securities Regulation and Enforcement, Broker-Dealer Compliance and Defense, Receivership Litigation, Securities Arbitration, and Business Litigation.

Since leaving the SEC in 2004, Mr. Sallah has publicly traded companies and individuals, in a variety of matters, including SEC, FINRA, stock exchange, and state regulatory investigations, internal investigations, federal and state lawsuits, administrative actions, and arbitrations.

Mr. Sallah’s reputation as a securities lawyer is recognized among his peers. In addition to being AV®Preeminent rated, 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. He received a congratulatory letter from Representative Bill Hager, Florida House of Representatives. In 2009, the Daily Business Review named him as the Most Effective Lawyer in the Area of Securities Law. Moreover, the South Florida Legal Guide’s 2008, 2009, and 2010 Editions identified him as one of the “Top Up and Comers” in the field of Securities Litigation and Arbitration.

Before entering private practice, Mr. Sallah was a Senior Counsel in the Securities and Exchange Commission’s Enforcement Division 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 coordinated several matters with federal and state criminal prosecutors, foreign law enforcement agencies, and self-regulatory organizations such as the NASD.

Prior to joining the SEC, Mr. Sallah was Assistant Corporate Counsel for Raymond James Financial, Inc., the largest brokerage institution in the Southeastern United States. While at Raymond James, he represented its broker-dealer subsidiaries and their associated persons in a variety of matters, including litigation and arbitration. Mr. Sallah also routinely advised senior management on legal matters affecting the broker-dealer subsidiaries to ensure compliance with the federal securities laws and requirements of regulatory organizations.

Professional Awards and Activities

  • Adjunct Professor, University of Miami School of Law
  • Received the SEC Chairman’s Award for Excellence in 2002
  • SEC Southeast Regional Office’s 2001 nominee for the Ellen Ross Award
    (honors an Enforcement attorney who demonstrates exemplary commitment, enthusiasm, and performance)
  • Vice-Chair, Financial Services Committee, Florida Bar, 1999-2000
  • Executive Committee, Business Law Section, Florida Bar, 1999-2000
  • Arbitrator for FINRA and National Futures Association
  • Association of Securities and Exchange Commission Alumni

Education

Mr. Sallah received his Bachelor’s degree (Summa Cum Laude) and Master’s degree from Ohio University and his Juris Doctor degree (Cum Laude) from the University of Miami School of Law. During law school, Mr. Sallah was a member of the University of Miami Law Review.

Bar Membership and Jurisdictions Admitted to Practice Mr. Sallah is a member of the Florida and Colorado Bar Associations. He is admitted to practice in the state court’s of both, as well as the U.S. District Court for the Southern and Middle Districts of Florida.

James D. SallahSallah Astarita & Cox, LLCOne Boca Place2255 Glades Road, Suite 300EBoca Raton, Florida 33431Tel. 561-509-6544Fax. 561-989-9020

110 Wall Street11th FloorNew York, New York 10005Tel. 212-509-654

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