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SEC to Focus on RIA Examinations

By Erwin J. Shustak, Esq.  of Shustak Reynolds & Partners, P.C. posted on Wednesday, February 17, 2016.

The Securities and Exchange Commission (“SEC”) is beefing up its efforts to more closely examine Registered Investment Advisory firms. The SEC has announced […] Read More

FINRA Accuses Broker of Charging $11 Million in Commissions and Lying About It

By George C. Miller, Esq.  of Shustak Reynolds & Partners, P.C. posted on Wednesday, February 10, 2016.

In early February 2016, the Financial Industry Regulatory Authority (FINRA) filed an enforcement action accusing financial advisor Gopi Vungarala of repeatedly lying […] Read More

We Congratulate Our Firm's 2016 SuperLawyers

By  of Shustak Reynolds & Partners, P.C. posted on Friday, February 5, 2016.

We are pleased to announce that partners Erwin Shustak and George Miller […] Read More

AIG Sells Advisor Group In Anticipation of DOL’s New Fiduciary Rule

By George C. Miller, Esq.  of Shustak Reynolds & Partners, P.C. posted on Tuesday, February 2, 2016.

Late last week, American International Group Inc. (AIG) CEO Peter Hancock announced the firm’s plans to spin off its independent broker-dealer division. […] Read More

California Has Legalized Payment of Finder's Fees For Securities Offerings

By Erwin J. Shustak, Esq.  of Shustak Reynolds & Partners, P.C. posted on Thursday, January 28, 2016.

Effective January 1, 2016, California has adopted a sweeping change to its laws on payment of finder’s fees to unregistered persons in connection with securities’ offerings. […] Read More

Defining Personal Benefits: Supreme Court to Revisit Insider Trading Standards after 33 Years

By Dennis A. Stubblefield, Esq., Jessica L. Mackaness, Esq., and Paris Novinni of Shustak Reynolds & Partners, P.C. posted on Thursday, January 21, 2016.

“The distinction between pure altruism and self-interest has puzzled philosophers for centuries; there is no reason to believe that courts and administrative law judges will have an easier time with it.” […] Read More

Six Tips for Financial Health in 2016

By George C. Miller, Esq.  of Shustak Reynolds & Partners, P.C. posted on Wednesday, January 20, 2016.

The Financial Industry Regulatory Authority (FINRA) recently published a list of six tips to help investors start 2016 on solid financial footing and avoid unnecessary risk […] Read More

FINRA Expungement Update - Expungement Denied in Recent Case

By Erwin J. Shustak, Esq.  of Shustak Reynolds & Partners, P.C. posted on Monday, January 18, 2016.

A recent FINRA arbitration Award highlights how the new FINRA expungement rules cannot be circumvented […] Read More

Former JP Morgan Broker Barred from Industry

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

As one of its final acts of 2015, FINRA barred former JP Morgan representative […] Read More

It’s the Culture, Stupid: Additional Observations on Finra’s 2016 BD Guidance

By Paris Novinni of Shustak Reynolds & Partners, P.C. posted on Monday, January 11, 2016.

As we posted last week, FINRA has just published its 11th annual Regulatory and Examination Priorities Letter addressing emerging and existing risks that could have potentially adverse effects on investors and market integrity in 2016 […] Read More