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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

What To Do When Someone Infringes On Your Patent

By of Shustak Reynolds & Partners, P.C. posted on Monday, September 8, 2014.

Patents serve a crucial role in our economy, granting inventors the exclusive use of whatever innovations they have patented. Patents are designed to reward the discovery of useful products and ideas so as to encourage and reward creativity. When someone infringes on your patent, that is a very serious matter with potentially major financial and […] Read More

Major Wirehouses Holding Billions In Up-Front Notes

By Erwin J. Shustak Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, August 20, 2014.

According to a published report today, the top wirehouses are holding billions of dollars of up-front notes given to entice brokers to join, or stay, at those firms. Morgan Stanley Wealth Management reported holding more than $5.2 billion in outstanding loans to its 16,300 […] Read More

Contractual Compliance & Compensation Relationships Between RIAs and Clients

By of Shustak Reynolds & Partners, P.C. posted on Monday, August 4, 2014.

The SEC holds Registered Investment Advisers (RIA’s) accountable to the highest standards for the advice they provide in exchange for the right to receive compensation for that advice. The employees of a given RIA are actually called Investment Adviser Representatives (IAR’s). Compliance Issues Over the last several years the SEC and Finra have begun to […] Read More

Affordable Care Act Update

By John H. Barkley, Esq of Shustak Reynolds & Partners, P.C. posted on Tuesday, July 29, 2014.

Affordable Care Act Update: IRS publishes figures and methods regarding Individual Mandate penalties. One of the key components of the Patient Protection and Affordable Care act is the requirement that every individual have minimum essential coverage from some form of health insurance. […] Read More

Does A Brokerage Firm Really Need An Attorney?

By of Shustak Reynolds & Partners, P.C. posted on Tuesday, July 22, 2014.

"I hate weekends because there is no stock market." Renee Rivkin Renee Walter Rivkin should have enjoyed the weekends more. Born June 6, 1944, and studied law at the University of Sydney, Rivkin became the youngest member ever of the Sydney Stock Exchange. Over his 30-year career, he developed into a well-known stockbroker and entrepreneur […] Read More