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San Diego SEC Lawyers: Securities and Exchange Focuses On “Fake” Financial News

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, April 24, 2017.

The White House is not the only place where “fake news” is the big problem [...] Read More

IRS Defeats LPL Broker Using S-Corp As Conduit For Commission And Fee Flow

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, April 11, 2017.

Many independent registered representatives and investment advisors form [...] Read More

Not So Fast My Friend: Raymond James Suspends Manager Frank Amigo Following Testimony In EB-5 Fraud Case

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, March 27, 2017.

In 2016, the Securities and Exchange Commission announced fraud charges against [...] Read More

FINRA Expels Red River Securities

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

A recent decision by a federal appellate court has cast doubt on whether decisions by SEC administrative judges are [...] Read More

RBC Reportedly Considering Sale Of Asian Wealth Management Business

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, March 1, 2017.

The Royal Bank of Canada (RBC) is reportedly reviewing [...] Read More

SEC ADMINISTRATIVE JUDGES- ARE THEY CONSTITUTIONAL?

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, March 6, 2017.

A recent decision by a federal appellate court has cast doubt on whether decisions by SEC administrative judges are [...] Read More

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