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“Whiz Kid” Settles Fraud Claims with SEC for $1.5 Million
By Kelly B. Mourning, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, October 3, 2016.
In 2014, the Securities and Exchange Commission warned investors that investment newsletters can be used as a means to perpetrate fraud [...] Read More
Smaller Brokerage Firms Failing to Pay FINRA Arbitration Awards
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 23, 2016.
In a concerning trend, Investment News recently reported that smaller brokerage firms are increasingly walking away [...] Read More
FINRA Orders UBS to Pay Three Investors $750K in Puerto Rico Bond Fraud Arbitration
By Jessica L. Mackaness, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 16, 2016.
Awards for damages tied to Puerto Rico’s debt crisis continue to climb this year. FINRA recently announced [...] Read More
Wells Fargo Hit With $185 Million Fine For Widespread Consumer Banking Fraud
By George C. Miller , Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 9, 2016.
A joint investigation and prosecution by the Los Angeles City Attorney, the Consumer Financial Protection Bureau (CFPB) and the Office of the Comptroller of Currency (OCC) has revealed [...] Read More
Insider Trading Enforcement: "The Hits Just Keep on Comin’"
By Dennis A. Stubblefield of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 30, 2016.
“Summertime, and the livin’ is easy.” Remember that lazy refrain from Porgy and Bess, written by Ira Gershwin, and made even more famous by Billy Stewart in 1966?[...] Read More
FINRA Charges Former Bay Mutual Broker With Recommending Unsuitable Gold And Energy Investments
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, August 29, 2016.
The Financial Industry Regulatory Authority (FINRA) recently filed a complaint against Christopher Ariola [...] Read More
Partner Jonah Toleno, named a finalist for San Diego Magazine's 2016 Woman of the Year Awards
By Jazmin Torres of Shustak Reynolds & Partners, P.C. posted on Monday, August 22, 2016.
Partner Jonah Toleno has been named a finalist for San Diego Magazine's [...] Read More
Erwin Shustak, recently selected for "The Best Lawyers in America©"
By Jazmin Torres of Shustak Reynolds & Partners, P.C. posted on Monday, August 22, 2016.
Erwin J. Shustak, recently was selected by his peers for inclusion in the 23rd Edition of "The Best Lawyers in America©" [...] Read More
ONLINE DATING: FERTILE GROUND FOR INVESTMENT FRAUD?
By Jessica L. Mackaness, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, August 5, 2016.
The craze of online dating and mobile dating apps has swept the nation. According to recent polls [...] Read More
ADVISERS ENCOUNTER UNWELCOME SURPRISES WHEN SWITCHING FIRMS
By Katherine S. DiDonato, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, July 21, 2016.
A recent study by Fidelity Investments shows advisers encounter many unwelcome surprises when they decide to go independent or switch brokerages. The two main difficulties [...] Read More