June 2012 - Shustak Reynolds

Morgan Stanley Ordered to Pay $5 Million to Recruited Brokers

By George C. Miller — posted in Financial Advisor & Broker Disputes on Wednesday, June 20, 2012.

June 20, 2012. Shustak Reynolds & Partners, P.C., announces that it obtained a FINRA Panel award of $5 million dollars…

Shustak Reynolds & Partners, P.C. Obtains $486,615 FINRA Arbitration Award Against MSSB and Citigroup for Misrepresentations Made to Financial Advisor During Recruitment

By George C. Miller — posted in Firm News & Case Results, Securities Arbitration & Litigation on Monday, June 18, 2012.

Arbitration Broker Transitions Financial Advisors FINRA FINRA Arbitration

The firm announces that it obtained a $486,615.77 FINRA arbitration award against Morgan Stanley Smith Barney (“MSSB”), Citigroup Global Markets…

Shustak Reynolds & Partners, P.C. Obtains $622,000.00 FINRA Arbitration Award Against Fidelity

By George C. Miller — posted in Firm News & Case Results, Securities Arbitration & Litigation on Friday, June 8, 2012.

Arbitration FINRA FINRA Arbitration

The firm announces that it obtained a $622,000.00 FINRA arbitration award against Fidelity Brokerage Services LLC (“Fidelity”) on behalf of…

FINRA Enhances BrokerCheck System

By George C. Miller — posted in Securities Regulation & Compliance on Thursday, June 7, 2012.

FINRA Securities Regulation

The Financial Industry Regulatory Authority (FINRA) recently re-vamped its online BrokerCheck portal to help users more easily access disclosure information…

SEC Charges Absolute Fund Advisors With Operating “Ponzi-like” Scheme

By George C. Miller — posted in Investor Claims & Financial Fraud, Regulatory Enforcement & Investigations on Monday, June 4, 2012.

Financial Advisors Ponzi Schemes SEC

the SEC filed a Complaint in the U.S. District Court for the Southern District of New York against Absolute Fund…

Month: June 2012