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California FINRA Lawyers: The Growing Problem of Unpaid FINRA Arbitration Awards

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, November 14, 2017.

While FINRA arbitrations were intended to provide investors and industry members a quick and relatively inexpensive procedure by which to settle their disputes with member firms, the fact is that a significant portion of FINRA arbitration awards remain unpaid and there is not much that FINRA is able to do about that. Read More

California Securities Lawyers: Morgan Stanley Ditches the Broker Protocol

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, October 31, 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

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