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California Securities Lawyer Update: Morgan Stanley Broker Suspended for Altering Client Information

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 8, 2017.

The Financial Industry Regulatory Authority (FINRA) recently suspended [...] Read More

San Diego Securities and Financial Attorneys: Former LPL Financial Brokers Charged By SEC With Annuity Sales Abuses To Federal Employees

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, August 8, 2017.

This past Monday, the Securities and Exchange Commission charged four former Atlanta-based LPL brokers with selling 200 privately-issued annuities [...] Read More

San Diego Securities and Financial Attorneys: Merrill Lynch Fires Fires Two Boston-Based Brokers For Stealing Client Funds

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, August 2, 2017.

According to FINRA CRD registration records, Morgan Stanley fired two long term, Boston-based brokers [...] Read More

California Securities Lawyer Update: FINRA Panel Slams Wedbush Securities in Elder Abuse Arbitration

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, July 14, 2017.

A panel of FINRA arbitrators recently awarded $1.4 million to [...] Read More

San Diego Securities Lawyer Update: FINRA Regulatory Fines On The Rise

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, July 6, 2017.

The Financial Industry Regulatory Industry (FINRA) is a non-profit, non-governmental organization authorized by Congress [...] Read More

San Diego Securities Lawyers: FINRA’s Proposed Rule on Outside Business Activities

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, June 26, 2017.

Registered representatives who operate under FINRA regulation, are aware of [...] Read More

California FINRA Lawyers Report: Wells Fargo Loses 225 Reps Due to WF Scandal

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 20, 2017.

Wells Fargo reported a loss of 225 registered representatives in the first quarter of 2017 [...] Read More

San Diego Securities Lawyer Update: Will They Stay Or Will They Go – Merrill Lynch, Morgan Stanley and UBS Scale Back Recruiting Bonuses

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 13, 2017.

In May 2017, Merrill Lynch announced plans to do away with [...] Read More

San Diego Securities Lawyers: SEC Enforcement Action Up 20%

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, June 6, 2017.

In the past six months, SEC enforcement actions against broker-dealers were up 20% [...] Read More

San Diego Securities Lawyers: Merrill Lynch Veteran Pleads Guilty to $8.7M Bank Fraud

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, June 1, 2017.

Jeffrey Kluge, a 25 year veteran of Merrill Lynch based in St. Paul, Minneapolis, plead guilty to two counts of bank fraud [...] Read More