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Ash Narayan and RGT Capital Management, Ltd. - Shustak Reynolds & Partners is Investigating Claims
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, March 25, 2016.
RGT Wealth Advisors, a division of RGT Capital Management, Ltd., with offices in Irvine, California and Texas, terminated Ash Narayan, one of its advisors working out of the Irvine, California office February 17, 2016. […] Read More
Texas Lawyer Sentenced to Jail for Aiding Stock Fraudster
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, March 16, 2016.
An Austin,Texas attorney was sentenced to 17 years in Federal prison for harboring and concealing a client who was a fugitive in Mexico […] Read More
FINRA Investigations Under Rule 8210
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, March 15, 2016.
It is every registered person’s nightmare. You receive a letter from a FINRA office notifying you that you are the subject of a FINRA investigation. […] Read More
Proposed FINRA Rule Requires Enhanced Fee Disclosures in Fixed Income Investments
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, March 9, 2016.
In late February, the Financial Industry Regulatory Authority (FINRA) approved a new rule designed to help investors understand the transaction costs associated with certain fixed-income and debt securities. […] Read More
Morgan Stanley Pays $2.6 Billion Penalty
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, February 23, 2016.
The U.S. Justice Department announced last week that Morgan Stanley will pay a $2.6 billion penalty to resolve claims related to […] Read More
FINRA Permanently Bars Two Brokers Who Ran Fraudulent Hedge Fund
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, February 22, 2016.
Clients who invested more than $12 million into a hedge fund that promoted itself as a safe investment based on a proprietary […] Read More
SEC will Only Target Corporate Directors in the Most Egregious Cases
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, February 19, 2016.
The Securities and Exchange Commission (SEC) has announced that it will focus enforcement cases on corporate directors […] Read More
Shustak Reynolds & Partners Investigating Claims Related to Forfeited Deferred Compensation
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, February 18, 2016.
Shustak Reynolds & Partners is investigating potential claims arising out of the forfeiture or cancellation of broker and financial advisor deferred compensation benefits. […] Read More
SEC to Focus on RIA Examinations
By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, February 17, 2016.
The Securities and Exchange Commission (“SEC”) is beefing up its efforts to more closely examine Registered Investment Advisory firms. The SEC has announced […] Read More
FINRA Accuses Broker of Charging $11 Million in Commissions and Lying About It
By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, February 10, 2016.
In early February 2016, the Financial Industry Regulatory Authority (FINRA) filed an enforcement action accusing financial advisor Gopi Vungarala of repeatedly lying […] Read More