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California FINRA Lawyers: FINRA Expungement Update - October 2017
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, October 23, 2017.
As FINRA and the SEC make it a priority for the investing public to know as much about their investment professionals as possible, and as more and more investors are searching the FINRA Broker-Check web site to learn more about their advisers, expungement is an increasingly significant issue [...] Read More
SEC Unmasked: How Safe are Its Investigative Files?
By Dennis Stubblefield, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 22, 2017.
We just posted our overview of the SEC Hack. The agency has thus far specified just EDGAR as being compromised [...] Read More
SEC Reveals It Was Hacked in 2016
By Jonah A. Toleno, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 22, 2017.
On the heels of the recent Equifax hack disclosure, the U.S. Securities and Exchange Commission (SEC), the government agency responsible for regulating the nation’s securities and financial services industry, issued a press release September 20, 2017, announcing a significant security breach [...] Read More
FINRA Issues New Guidance on Social Media Communications, Including Rules on Sharing Content and New Types of Advertising
By Katherine S. Bowles, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, September 13, 2017.
FINRA has issued new guidance on the use of social media and digital communications for member firms [...] Read More
California Securities Lawyer Update: From Bad to Worse, Wells Fargo Increases Fake Account Estimate
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, August 31, 2017.
Wells Fargo now estimates that the firm opened 3.5 million phony bank and credit card accounts [...] Read More
California Securities Lawyer Update: Morgan Stanley Broker Suspended for Altering Client Information
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 8, 2017.
The Financial Industry Regulatory Authority (FINRA) recently suspended [...] Read More
San Diego Securities and Financial Attorneys: Former LPL Financial Brokers Charged By SEC With Annuity Sales Abuses To Federal Employees
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 8, 2017.
This past Monday, the Securities and Exchange Commission charged four former Atlanta-based LPL brokers with selling 200 privately-issued annuities [...] Read More
San Diego Securities and Financial Attorneys: Merrill Lynch Fires Fires Two Boston-Based Brokers For Stealing Client Funds
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, August 2, 2017.
According to FINRA CRD registration records, Morgan Stanley fired two long term, Boston-based brokers [...] Read More
California Securities Lawyer Update: FINRA Panel Slams Wedbush Securities in Elder Abuse Arbitration
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, July 14, 2017.
A panel of FINRA arbitrators recently awarded $1.4 million to [...] Read More
San Diego Securities Lawyer Update: FINRA Regulatory Fines On The Rise
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, July 6, 2017.
The Financial Industry Regulatory Industry (FINRA) is a non-profit, non-governmental organization authorized by Congress [...] Read More