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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
SEC v. Dawn J. Bennett: From “Financial Myth Busting” To “Busted”
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, July 11, 2016.
Last fall, the SEC initiated disciplinary proceedings against financial advisor and self-proclaimed “Financial Myth Buster” Dawn Bennett, accusing her of publicly inflating her client assets under management (or “AUM”) and exaggerating her investment returns. Read More
SEC Halts Ash Narayan from Defrauding RGT Clients
By Erwin J. Shustak of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 21, 2016.
The Securities and Exchange Commission (“SEC”) announced that it obtained a court ordered “freeze” of the assets of three individuals, including Ash Narayan, formerly of RGT Wealth Advisors, who, the SEC alleges, siphoned millions of dollars from the accounts he managed at RGT for professional athletes and others while he was the manager of RGT Wealth Advisor’s Orange County, California office. [...] Read More
It's the Culture, Stupid, Part II
By Dennis Stubblefield of Shustak Reynolds & Partners, P.C. posted on Friday, May 27, 2016.
FINRA CEO Rick Ketchum just delivered what will undoubtedly be his swan song to the industry (he will likely step down later this year). [...] Read More
The Defend Trade Secrets Act: A Powerful New Tool For Business Owners
By Katherine S. DiDonato of Shustak Reynolds & Partners, P.C. posted on Thursday, May 19, 2016.
President Obama recently signed into law the Defend Trade Secrets Act (“DTSA”) of 2016, which gives holders of trade secrets a new and powerful option to bring trade secret lawsuits under federal law. [...] Read More
FINRA Submits Proposed Rule Changes To Clarify Offsetting Awards (SR-FINRA-2016-015)
By Jessica L. Mackaness of Shustak Reynolds & Partners, P.C. posted on Tuesday, May 10, 2016.
FINRA has recently filed proposed rule changes that provide much-needed clarification to how arbitration awards resulting in both sides paying money should be handled. [...] Read More