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NEW CALIFORNIA LAW PROHIBITS OUT OF STATE DISPUTE RESOLUTION CLAUSES EFFECTIVE JAN. 1, 2017

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, November 15, 2016.

Many in the financial services industry likely are wondering what’s in store for the U.S. Department of Labor’s Fiduciary Rule [...] Read More

What Does the Trump Election Mean for the DOL Fiduciary Rule?

By Jonah A. Toleno, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, November 11, 2016.

Many in the financial services industry likely are wondering what’s in store for the U.S. Department of Labor’s Fiduciary Rule [...] Read More

WELLS FARGO ADVISORS’ AGGRESSIVE CROSS-SELLING TACTICS COULD LEAD TO MORE WOES FOR THE COMPANY AND ITS ADVISORS

By Katherine S. DiDonato, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, October 17, 2016.

As the fallout from Wells Fargo’s fake account scandal continues to mount, watchful eyes are now turning to Wells Fargo Advisors [...] Read More

“Whiz Kid” Settles Fraud Claims with SEC for $1.5 Million

By Kelly B. Mourning, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, October 3, 2016.

In 2014, the Securities and Exchange Commission warned investors that investment newsletters can be used as a means to perpetrate fraud [...] Read More

Smaller Brokerage Firms Failing to Pay FINRA Arbitration Awards

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 23, 2016.

In a concerning trend, Investment News recently reported that smaller brokerage firms are increasingly walking away [...] Read More

FINRA Orders UBS to Pay Three Investors $750K in Puerto Rico Bond Fraud Arbitration

By Jessica L. Mackaness, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 16, 2016.

Awards for damages tied to Puerto Rico’s debt crisis continue to climb this year. FINRA recently announced [...] Read More

Wells Fargo Hit With $185 Million Fine For Widespread Consumer Banking Fraud

By George C. Miller , Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 9, 2016.

A joint investigation and prosecution by the Los Angeles City Attorney, the Consumer Financial Protection Bureau (CFPB) and the Office of the Comptroller of Currency (OCC) has revealed [...] Read More

Insider Trading Enforcement: "The Hits Just Keep on Comin’"

By Dennis A. Stubblefield of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 30, 2016.

“Summertime, and the livin’ is easy.” Remember that lazy refrain from Porgy and Bess, written by Ira Gershwin, and made even more famous by Billy Stewart in 1966?[...] Read More

FINRA Charges Former Bay Mutual Broker With Recommending Unsuitable Gold And Energy Investments

By George C. Miller, Esq.  of Shustak Reynolds & Partners, P.C. posted on Monday, August 29, 2016.

The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Christopher Ariola [...] Read More

Partner Jonah Toleno, named a finalist for San Diego Magazine's 2016 Woman of the Year Awards

By Jazmin Torres of Shustak Reynolds & Partners, P.C. posted on Monday, August 22, 2016.

Partner Jonah Toleno has been named a finalist for San Diego Magazine's [...] Read More