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REGISTERED INVESTMENT ADVISERS CHARGED WITH STEALING FROM CLIENTS, INCLUDING MIKE TYSON
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, February 23, 2017.
Two recent instances of RIA’s stealing from clients [...] Read More
ASH NARAYAN, FORMERLY OF RGT WEALTH ADVISORS, SUSPENDED BY CFP BOARD
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, February 21, 2017.
The Certified Financial Planning Board of Standards has temporarily suspended [...] Read More
Merrill Lynch Adviser Resigns Over Expense Account Abuse
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, February 14, 2017.
A Merrill complex director in Ohio has parted ways with [...] Read More
PIMCO Agrees To Pay $20 Million For Misleading Bond Investors
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, January 25, 2017.
The Securities and Exchange Commission (“SEC”) announced that PIMCO will pay [...] Read More
FORMER INVESTMENT ADVISOR STEALS FROM INVESTORS IN PONZI SCHEME
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, January 18, 2017.
Massachusetts charged a former financial adviser, Stephen S. Eubanks, with [...] Read More
FINRA Announces Exam Priorities for 2017
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, January 6, 2017.
Last week, the Securities and Exchange Commission revoked [...] Read More
SECURITIES AND EXCHANGE COMMISSION REVOKES ASH NARAYAN FROM SECURITIES INDUSTRY
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 29, 2016.
Last week, the Securities and Exchange Commission revoked [...] Read More
FINRA ARBITRATION RULE CHANGE- PANEL SELECTION IN CUSTOMER CASES WITH THREE ARBITRATORS
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 22, 2016.
The Securities and Exchange Commission (SEC) approved amendments to [...] Read More
How Brokers Can Exploit the Broker Protocol to Facilitate Their Breakaway
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, December 19, 2016.
Recently, a group of 13 brokers left Morgan Stanley with $2.2 billion of client assets [...] Read More
FINRA Looking To Speak With Terminated Wells Fargo Brokers
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 15, 2016.
In the wake of Wells Fargo’s fraudulent account scandal [...] Read More