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Texas Lawyer Sentenced to Jail for Aiding Stock Fraudster

By Erwin J. Shustak, Esq.  of Shustak Reynolds & Partners, P.C. posted on Wednesday, March 16, 2016.

An Austin,Texas attorney was sentenced to 17 years in Federal prison for harboring and concealing a client who was a fugitive in Mexico […] Read More

FINRA Investigations Under Rule 8210

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

It is every registered person’s nightmare. You receive a letter from a FINRA office notifying you that you are the subject of a FINRA investigation. […] Read More

Proposed FINRA Rule Requires Enhanced Fee Disclosures in Fixed Income Investments

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

In late February, the Financial Industry Regulatory Authority (FINRA) approved a new rule designed to help investors understand the transaction costs associated with certain fixed-income and debt securities. […] Read More

Morgan Stanley Pays $2.6 Billion Penalty

By Erwin J. Shustak, Esq.  of Shustak Reynolds & Partners, P.C. posted on Tuesday, February 23, 2016.

The U.S. Justice Department announced last week that Morgan Stanley will pay a $2.6 billion penalty to resolve claims related to […] Read More

FINRA Permanently Bars Two Brokers Who Ran Fraudulent Hedge Fund

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

Clients who invested more than $12 million into a hedge fund that promoted itself as a safe investment based on a proprietary […] Read More

SEC will Only Target Corporate Directors in the Most Egregious Cases

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

The Securities and Exchange Commission (SEC) has announced that it will focus enforcement cases on corporate directors […] Read More

Shustak Reynolds & Partners Investigating Claims Related to Forfeited Deferred Compensation

By George C. Miller, Esq.  of Shustak Reynolds & Partners, P.C. posted on Thursday, February 18, 2016.

Shustak Reynolds & Partners is investigating potential claims arising out of the forfeiture or cancellation of broker and financial advisor deferred compensation benefits. […] Read More

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