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What Does the Trump Election Mean for the DOL Fiduciary Rule?
By Jonah A. Toleno, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, November 11, 2016.
Many in the financial services industry likely are wondering what’s in store for the U.S. Department of Labor’s Fiduciary Rule [...] Read More
WELLS FARGO ADVISORS’ AGGRESSIVE CROSS-SELLING TACTICS COULD LEAD TO MORE WOES FOR THE COMPANY AND ITS ADVISORS
By Katherine S. DiDonato, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, October 17, 2016.
As the fallout from Wells Fargo’s fake account scandal continues to mount, watchful eyes are now turning to Wells Fargo Advisors [...] Read More
“Whiz Kid” Settles Fraud Claims with SEC for $1.5 Million
By Kelly B. Mourning, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, October 3, 2016.
In 2014, the Securities and Exchange Commission warned investors that investment newsletters can be used as a means to perpetrate fraud [...] Read More
Smaller Brokerage Firms Failing to Pay FINRA Arbitration Awards
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 23, 2016.
In a concerning trend, Investment News recently reported that smaller brokerage firms are increasingly walking away [...] Read More
FINRA Orders UBS to Pay Three Investors $750K in Puerto Rico Bond Fraud Arbitration
By Jessica L. Mackaness, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 16, 2016.
Awards for damages tied to Puerto Rico’s debt crisis continue to climb this year. FINRA recently announced [...] Read More
Wells Fargo Hit With $185 Million Fine For Widespread Consumer Banking Fraud
By George C. Miller , Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 9, 2016.
A joint investigation and prosecution by the Los Angeles City Attorney, the Consumer Financial Protection Bureau (CFPB) and the Office of the Comptroller of Currency (OCC) has revealed [...] Read More
Insider Trading Enforcement: "The Hits Just Keep on Comin’"
By Dennis A. Stubblefield of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 30, 2016.
“Summertime, and the livin’ is easy.” Remember that lazy refrain from Porgy and Bess, written by Ira Gershwin, and made even more famous by Billy Stewart in 1966?[...] Read More
FINRA Charges Former Bay Mutual Broker With Recommending Unsuitable Gold And Energy Investments
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, August 29, 2016.
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Christopher Ariola [...] Read More
Partner Jonah Toleno, named a finalist for San Diego Magazine's 2016 Woman of the Year Awards
By Jazmin Torres of Shustak Reynolds & Partners, P.C. posted on Monday, August 22, 2016.
Partner Jonah Toleno has been named a finalist for San Diego Magazine's [...] Read More
Erwin Shustak, recently selected for "The Best Lawyers in America©"
By Jazmin Torres of Shustak Reynolds & Partners, P.C. posted on Monday, August 22, 2016.
Erwin J. Shustak, recently was selected by his peers for inclusion in the 23rd Edition of "The Best Lawyers in America©" [...] Read More