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California Securities Lawyer Update: Morgan Stanley Broker Suspended for Altering Client Information
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 8, 2017.
The Financial Industry Regulatory Authority (FINRA) recently suspended [...] Read More
San Diego Securities and Financial Attorneys: Former LPL Financial Brokers Charged By SEC With Annuity Sales Abuses To Federal Employees
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 8, 2017.
This past Monday, the Securities and Exchange Commission charged four former Atlanta-based LPL brokers with selling 200 privately-issued annuities [...] Read More
San Diego Securities and Financial Attorneys: Merrill Lynch Fires Fires Two Boston-Based Brokers For Stealing Client Funds
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, August 2, 2017.
According to FINRA CRD registration records, Morgan Stanley fired two long term, Boston-based brokers [...] Read More
California Securities Lawyer Update: FINRA Panel Slams Wedbush Securities in Elder Abuse Arbitration
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, July 14, 2017.
A panel of FINRA arbitrators recently awarded $1.4 million to [...] Read More
San Diego Securities Lawyer Update: FINRA Regulatory Fines On The Rise
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, July 6, 2017.
The Financial Industry Regulatory Industry (FINRA) is a non-profit, non-governmental organization authorized by Congress [...] Read More
San Diego Securities Lawyers: FINRA’s Proposed Rule on Outside Business Activities
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, June 26, 2017.
Registered representatives who operate under FINRA regulation, are aware of [...] Read More
California FINRA Lawyers Report: Wells Fargo Loses 225 Reps Due to WF Scandal
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 20, 2017.
Wells Fargo reported a loss of 225 registered representatives in the first quarter of 2017 [...] Read More
San Diego Securities Lawyer Update: Will They Stay Or Will They Go – Merrill Lynch, Morgan Stanley and UBS Scale Back Recruiting Bonuses
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 13, 2017.
In May 2017, Merrill Lynch announced plans to do away with [...] Read More
San Diego Securities Lawyers: SEC Enforcement Action Up 20%
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 6, 2017.
In the past six months, SEC enforcement actions against broker-dealers were up 20% [...] Read More
San Diego Securities Lawyers: Merrill Lynch Veteran Pleads Guilty to $8.7M Bank Fraud
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, June 1, 2017.
Jeffrey Kluge, a 25 year veteran of Merrill Lynch based in St. Paul, Minneapolis, plead guilty to two counts of bank fraud [...] Read More