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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

Erwin Shustak, recently selected for "The Best Lawyers in America©"

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

Erwin J. Shustak, recently was selected by his peers for inclusion in the 23rd Edition of "The Best Lawyers in America©" [...] Read More

ONLINE DATING: FERTILE GROUND FOR INVESTMENT FRAUD?

By Jessica L. Mackaness, Esq.  of Shustak Reynolds & Partners, P.C. posted on Friday, August 5, 2016.

The craze of online dating and mobile dating apps has swept the nation. According to recent polls [...] Read More

ADVISERS ENCOUNTER UNWELCOME SURPRISES WHEN SWITCHING FIRMS

By Katherine S. DiDonato, Esq.  of Shustak Reynolds & Partners, P.C. posted on Thursday, July 21, 2016.

A recent study by Fidelity Investments shows advisers encounter many unwelcome surprises when they decide to go independent or switch brokerages. The two main difficulties [...] Read More

SEC v. Dawn J. Bennett: From “Financial Myth Busting” To “Busted”

By George C. Miller, Esq.  of Shustak Reynolds & Partners, P.C. posted on Monday, July 11, 2016.

Last fall, the SEC initiated disciplinary proceedings against financial advisor and self-proclaimed “Financial Myth Buster” Dawn Bennett, accusing her of publicly inflating her client assets under management (or “AUM”) and exaggerating her investment returns.  Read More