Shustak Reynolds & Partners, P.C.

06/01/2026

On the Blog:
Investment Fraud and Social Media: When “Finfluencers” Cross the Line

https://shufirm.com/investment-fraud-and-social-media-when-finfluencers-cross-the-line

05/26/2026

On the Blog:
Artificial Intelligence and the Practice of Law: California SB 574 and New Protections for Clients

https://shufirm.com/artificial-intelligence-and-the-practice-of-law-california-sb-574-and-new-protections-for-clients

05/21/2026

On the Blog:
Received a FINRA Rule 8210 Letter? What Financial Advisors Need to Know

https://shufirm.com/received-a-finra-rule-8210-letter-what-financial-advisors-need-to-know

05/15/2026

On the Blog:
Warning: Your AI Chat Is Not Privileged, and It Probably Doesn’t Help That Much

https://shufirm.com/warning-your-ai-chat-is-not-privileged-and-it-probably-doesnt-help-that-much

05/07/2026

On the Blog: When AI Picks the Trades: Liability Risks for Broker-Dealers, RIAs, and Registered Representatives

Artificial intelligence is no longer a back-office tool in financial services. It is now embedded directly in how retail investors—particularly self-directed clients—research, evaluate, and execute investment decisions. For broker-dealers, registered investment advisors, and registered represent...

05/06/2026

On the Blog: Five Litigation Traps Financial Institutions Should Avoid in Customer Arbitrations

Customer arbitration is one of the most common forums for resolving disputes between financial institutions and their clients. For broker-dealers and registered representatives in particular, FINRA arbitration serves as the primary venue for claims involving alleged misconduct, unsuitable investment...

05/05/2026

On the Blog: FINRA Signals Possible Overhaul of Its Arbitration System

FINRA has begun a broad review of the rules governing its arbitration forum. In Regulatory Notice 26-06 (“RN26-06”), FINRA requested public comment on a wide range of potential changes to arbitration procedures and policies. The request forms part of the organization’s broader FINRA Forward in...

01/13/2026

On the Blog:

California’s AB 692: Closing the Door on “Stay-or-Pay” Provisions

https://shufirm.com/californias-ab-692-closing-the-door-on-stay-or-pay-provisions

12/01/2025

On the Blog:
SEC Announces 2026 Examination Priorities

On November 17, 2025, the SEC Division of Examinations (the “Division”) issued its annual Examination Priorities (“Exam Priorities”) for fiscal year 2026. Exam Priorities outline the key areas where the SEC intends to focus its oversight in the coming year, including heightened attention to ...

11/25/2025

On the Blog:
Don’t Forget: Continuing Education for IARS

The deadline for California-registered investment adviser representatives (“IARs”) to complete their required Investment Adviser Representative Continuing Education (“IAR CE”) hours is quickly approaching. Every IAR registered in California must comply with these requirements, regardless of ...