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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

San Diego Securities Lawyers: FINRA’s Proposed Rule on Outside Business Activities

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, June 26, 2017.

Registered representatives who operate under FINRA regulation, are aware of [...] Read More

California FINRA Lawyers Report: Wells Fargo Loses 225 Reps Due to WF Scandal

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 20, 2017.

Wells Fargo reported a loss of 225 registered representatives in the first quarter of 2017 [...] Read More

San Diego Securities Lawyer Update: Will They Stay Or Will They Go – Merrill Lynch, Morgan Stanley and UBS Scale Back Recruiting Bonuses

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 13, 2017.

In May 2017, Merrill Lynch announced plans to do away with [...] Read More