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THE U.S. SUPREME COURT CLARIFIES THE DEFINITION OF INSIDER TRADING- A BIG WIN FOR PROSECUTORS
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, December 7, 2016.
For the first time since 1983 [...] Read More
EX LPL BROKER BARRED BY SECURITIES AND EXCHANGE COMMISSION
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, November 30, 2016.
The SEC recently barred a broker who had been licensed [...] Read More
FINRA PROPOSES RULE TO CURB ELDER FINANCIAL ABUSE
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, November 22, 2016.
FINRA recently proposed a rule that would allow brokers to report [...] Read More
WELLS FARGO WINS $1M FROM DISCHARGED BROKER
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, November 18, 2016.
In yet another loss to a broker litigating an upfront note case by claiming [...] Read More
NEW CALIFORNIA LAW PROHIBITS OUT OF STATE DISPUTE RESOLUTION CLAUSES EFFECTIVE JAN. 1, 2017
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, November 15, 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
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