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SECURITIES AND EXCHANGE COMMISSION REVOKES ASH NARAYAN FROM SECURITIES INDUSTRY
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 29, 2016.
Last week, the Securities and Exchange Commission revoked [...] Read More
FINRA ARBITRATION RULE CHANGE- PANEL SELECTION IN CUSTOMER CASES WITH THREE ARBITRATORS
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 22, 2016.
The Securities and Exchange Commission (SEC) approved amendments to [...] Read More
How Brokers Can Exploit the Broker Protocol to Facilitate Their Breakaway
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, December 19, 2016.
Recently, a group of 13 brokers left Morgan Stanley with $2.2 billion of client assets [...] Read More
FINRA Looking To Speak With Terminated Wells Fargo Brokers
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 15, 2016.
In the wake of Wells Fargo’s fraudulent account scandal [...] Read More
Former Merrill Lynch International Advisors File Class Action
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, December 13, 2016.
A group of former Merrill Lynch international financial advisors have filed [...] Read More
THE U.S. SUPREME COURT CLARIFIES THE DEFINITION OF INSIDER TRADING- A BIG WIN FOR PROSECUTORS
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, December 7, 2016.
For the first time since 1983 [...] Read More
EX LPL BROKER BARRED BY SECURITIES AND EXCHANGE COMMISSION
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, November 30, 2016.
The SEC recently barred a broker who had been licensed [...] Read More
FINRA PROPOSES RULE TO CURB ELDER FINANCIAL ABUSE
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, November 22, 2016.
FINRA recently proposed a rule that would allow brokers to report [...] Read More
WELLS FARGO WINS $1M FROM DISCHARGED BROKER
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, November 18, 2016.
In yet another loss to a broker litigating an upfront note case by claiming [...] Read More
NEW CALIFORNIA LAW PROHIBITS OUT OF STATE DISPUTE RESOLUTION CLAUSES EFFECTIVE JAN. 1, 2017
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, November 15, 2016.
Many in the financial services industry likely are wondering what’s in store for the U.S. Department of Labor’s Fiduciary Rule [...] Read More