May 2015 - Shustak Reynolds

FINRA’s Revised Broker Comp. Disclosure Proposal

By Erwin J. Shustak — posted in Financial Industry Developments on Thursday, May 28, 2015.

After dropping its proposal in June, 2013 that would have required brokers to disclose recruiting bonuses and "up-front" forgivable loans…

FINRA Arbitration Panel Finds Morgan Stanley Promissory Note Unenforceable

By George C. Miller — posted in Financial Advisor & Broker Disputes, Securities Arbitration & Litigation on Thursday, May 14, 2015.

Arbitration FINRA FINRA Arbitration

After a three year litigation between Morgan Stanley and its former advisor, John Offenburger, a FINRA arbitration panel recently held…

The Top 25 Independent Brokerage Firms By Revenue

By Jonah A. Toleno — posted in Financial Industry Developments on Friday, May 1, 2015.

Broker-Dealers Financial Services Industry

Investment News released a list today of the top 25 independent broker-dealers ranked by 2014 total revenues, with LPL Financial…

FINRA ANNOUNCES TOLL-FREE HELP LINE FOR SENIOR INVESTORS

By George C. Miller — posted in Investor Claims & Financial Fraud, Securities Regulation & Compliance on Friday, May 1, 2015.

Elder Financial Abuse FINRA

The Financial Industry Regulatory Authority (FINRA), a private corporation charged with regulating the securities industry, recently launched a toll-free help…

Month: May 2015