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San Diego Securities Lawyers: SEC Enforcement Action Up 20%

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

In the past six months, SEC enforcement actions against broker-dealers were up 20% [...] Read More

San Diego Securities Lawyers: Merrill Lynch Veteran Pleads Guilty to $8.7M Bank Fraud

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, June 1, 2017.

Jeffrey Kluge, a 25 year veteran of Merrill Lynch based in St. Paul, Minneapolis, plead guilty to two counts of bank fraud [...] Read More

San Diego Securities Lawyers: John McGinnis, RBC, Aero-X Golf; BST Nano Bikes; BST Nano Carbon; Grandura Shafts; Baron Bat; Grace McLain Capital Advisors; Solana Golf; and EGJ, LLC

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, May 25, 2017.

Shustak Reynolds & Partners is pursuing claims against RBC on behalf of former clients of John McGinnis and RBC [...] Read More

California FINRA Lawyers Report: Former LPL Broker Guilty of Stealing

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, May 23, 2017.

A former LPL broker plead guilty to stealing [...] Read More

Broker Barred for Steering Clients to Ponzi Scheme

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, May 3, 2017.

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

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