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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
San Diego Securities Lawyers: John McGinnis, RBC, Aero-X Golf; BST Nano Bikes; BST Nano Carbon; Grandura Shafts; Baron Bat; Grace McLain Capital Advisors; Solana Golf; and EGJ, LLC
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, May 25, 2017.
Shustak Reynolds & Partners is pursuing claims against RBC on behalf of former clients of John McGinnis and RBC [...] Read More
California FINRA Lawyers Report: Former LPL Broker Guilty of Stealing
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, May 23, 2017.
A former LPL broker plead guilty to stealing [...] Read More
Broker Barred for Steering Clients to Ponzi Scheme
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, May 3, 2017.
The White House is not the only place where “fake news” is the big problem [...] Read More
San Diego SEC Lawyers: Securities and Exchange Focuses On “Fake” Financial News
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, April 24, 2017.
The White House is not the only place where “fake news” is the big problem [...] Read More
IRS Defeats LPL Broker Using S-Corp As Conduit For Commission And Fee Flow
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, April 11, 2017.
Many independent registered representatives and investment advisors form [...] Read More