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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

FORMER INVESTMENT ADVISOR STEALS FROM INVESTORS IN PONZI SCHEME

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, January 18, 2017.

Massachusetts charged a former financial adviser, Stephen S. Eubanks, with [...] Read More

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