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FINRA Announces Exam Priorities for 2017

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, January 6, 2017.

Last week, the Securities and Exchange Commission revoked [...] Read More

SECURITIES AND EXCHANGE COMMISSION REVOKES ASH NARAYAN FROM SECURITIES INDUSTRY

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 29, 2016.

Last week, the Securities and Exchange Commission revoked [...] Read More

FINRA ARBITRATION RULE CHANGE- PANEL SELECTION IN CUSTOMER CASES WITH THREE ARBITRATORS

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 22, 2016.

The Securities and Exchange Commission (SEC) approved amendments to [...] Read More

How Brokers Can Exploit the Broker Protocol to Facilitate Their Breakaway

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, December 19, 2016.

Recently, a group of 13 brokers left Morgan Stanley with $2.2 billion of client assets [...] Read More

FINRA Looking To Speak With Terminated Wells Fargo Brokers

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 15, 2016.

In the wake of Wells Fargo’s fraudulent account scandal [...] Read More

Former Merrill Lynch International Advisors File Class Action

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, December 13, 2016.

A group of former Merrill Lynch international financial advisors have filed [...] Read More

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