SEC Subpoenas and Enforcement Actions On The Rise
In mid October of 2014, the Securities and Exchange Commission (SEC) reported that it filed a record 755 enforcement actions…
Read MoreMonth: October 2014
Admin Proceedings On Steroids: The Sec’s Improper End Run Around Having To Prove “Likelihood” In Federal Court
A week after Commissioner Pinowar publicly questioned it, the SEC’s march toward admin enforcement seems inexorable. Tuesday brought two good…
Read MoreErwin Shustak Attends FINRA’s Arbitrator Appreciation Evening
Erwin Shustak attended the first annual Arbitrator Appreciation evening hosted in San Diego by FINRA, the Financial Industry Regulatory Authority,…
Read MorePartner Jonah A. Toleno, Esq. Named Finalist For Women Who Mean Business Awards
Shustak Reynolds & Partners, P.C. is pleased to announce that Jonah A. Toleno, Esq., a partner based in our firm’s…
Read MoreMajor Fraud (and “Broken Windows”) Update: Governance and Accountability 101
"If every rule is a priority, then no rule is a priority." So observed SEC Commissioner Michael Pinowar, in his…
Read MoreAre you ready to grow your small business? It’s time to start thinking like the big dogs.
The Obstacle: Every successful small business reaches a critical point in its journey, where things get so complex and there…
Read MoreEmployers: Are You Ready for the Affordable Care Act?
This coming January, the rubber meets the road when it comes to employers having to provide minimum essential health insurance…
Read MoreThey Never Learn – SEC Seeks to Bar Broker Who Stole $2 Million from Trusted Clients
The SEC today announced it was taking steps to bar a former stockbroker and investment adviser who stole $2 million…
Read MoreShustak Reynolds & Partners, P.C. Congratulates Its 2015 SuperLawyers
We are pleased to announce that three lawyers from our firm-Erwin J. Shustak, Robert L. Hill and George C. Miller-were…
Read MoreFINRA Arbitrators Lack Diversity, According to Investors Group
A recent study from the Public Investors Arbitration Bar Association (PIABA), a group formed to assist investors in recovering investment…
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