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Major Fraud (and “Broken Windows”) Update: Governance and Accountability 101

By Dennis A. Stubblefield of Shustak Reynolds & Partners, P.C. posted on Thursday, October 16, 2014.

"If every rule is a priority, then no rule is a priority." So observed SEC Commissioner Michael Pinowar, in his speech Tuesday, questioning the efficacy of the Commission’s so-called “Broken Windows” approach to Enforcement. His pointed and poignant remarks force the Commission—and really each and […] Read More

Are you ready to grow your small business? It’s time to start thinking like the big dogs.

By John H. Barkley, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, October 16, 2014.

The Obstacle: Every successful small business reaches a critical point in its journey, where things get so complex and there is so much work to be done, that the original architects of success are simply too few in number to get everything done. There […] Read More

Employers: Are You Ready for the Affordable Care Act?

By John H. Barkley, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, October 16, 2014.

This coming January, the rubber meets the road when it comes to employers having to provide minimum essential health insurance coverage to their full-time employees. At first glance, the final regulations published by the IRS this past February seem serpentine, but they represent […] Read More

They Never Learn – SEC Seeks to Bar Broker Who Stole $2 Million from Trusted Clients

By Erwin J. Shustak Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, October 15, 2014.

The SEC today announced it was taking steps to bar a former stockbroker and investment adviser who stole $2 million from trusting clients. In 2013 FINRA barred Marshall from associating with any broker-dealer member firm. Last year, the SEC charged Marshall and his investment advisory […] Read More

Shustak Reynolds & Partners, P.C. Congratulates Its 2015 SuperLawyers

By of Shustak Reynolds & Partners, P.C. posted on Wednesday, October 8, 2014.

We are pleased to announce that three lawyers from our firm-Erwin J. Shustak, Robert L. Hill and George C. Miller-were selected as SuperLawyers® for 2015. Erwin was named a SuperLawyer® in the business and securities litigation categories, while Robert and George each were recognized as SuperLawyers® “San Diego Rising Stars” in […] Read More

FINRA Arbitrators Lack Diversity, According to Investors Group

By Robert L. Hill, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, October 7, 2014.

A recent study from the Public Investors Arbitration Bar Association (PIABA), a group formed to assist investors in recovering investment losses, concludes that the arbitrator pool maintained by the Financial Industry Regulatory Authority (FINRA) lacks diversity. The PIABA study found that investors often […] Read More

SEC Backs FINRA In Arbitration Fee Rate Hike

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, October 1, 2014.

The cost of bringing an arbitration claim before the Financial Industry Regulatory Authority’s (FINRA) arbitration division is on the rise. The SEC, which oversees FINRA, recently pledged support for FINRA’s proposal to increase arbitration claim filing and hearing session fees. The rate hike will […] Read More

Erwin J. Shustak Esq. Attends London Annual Conference of International-Referral

By Erwin J. Shustak Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, September 26, 2014.

Erwin Shustak, Shustak Reynolds & Partners, P.C., just returned from attending the London annual conference of International-Referral, a world-wide organization of attorneys and other professionals from over 140 jurisdictions spanning more than 70 practice areas. Erwin is on the Steering Committee of the Disputes Committee of […] Read More

U-5 Defamation Claims

By of Shustak Reynolds & Partners, P.C. posted on Monday, September 22, 2014.

"My first response was to sue her for defamation of character, but then I realized I have no character." Charles Barkley The Uniform Termination Notice for Securities Industries Registration (Form U5) includes all customer complaints, securities licenses, registrations, and amendments. Whether you are a financial or investment advisor, a securities broker, or a registered financial […] Read More

How Preventive Counseling Can Help With Employment Issues In The Workplace

By of Shustak Reynolds & Partners, P.C. posted on Monday, September 15, 2014.

A business that is proactive in the manner in which it addresses potential issues typically is an enterprise that enjoys a higher level of success, including in the arena of employee satisfaction, client or customer relations and overall fiscal health. When it comes to human resources, preventive counseling proves to be highly beneficial in addressing, […] Read More