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When you have a complex legal problem…

  • Securities Litigation & Arbitration
  • Representation of Broker-Dealers, Registered Persons & Investment Advisers
  • SEC & FINRA Investigations/Enforcement Actions
  • Complex Business Disputes
  • Corporate & Securities Transactions

You need an award winning legal team.

Award Winning Legal Team
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San Diego, Irvine, San Francisco, Chicago and New York City Securities, Business and Financial Services Litigation Attorneys

When you have a complex legal problem you need smart, sophisticated and practical lawyers on your side. Shustak & Partners, P.C., is a specialty law firm with a national practice focused on securities and business law, financial services law and business and securities litigation and arbitration. Our offices in San Diego, Irvine, San Francisco and New York City allow our firm to represent clients locally and throughout the country.

For over 39 years, we have provided the highest quality, results oriented advice and legal representation possible while ensuring our clients receive the highest level of personal attention and service. Period. That’s what we do. We live our firm motto every day: Better Lawyers. Better Results.SM

Representing Brokerage Firms, Registered Investment Advisers, Brokers, Companies and Individuals

We limit our representation to a select number of cases and clients. Our clients include domestic and foreign publicly traded corporations, broker-dealers, financial advisors, stock brokers and registered representatives, registered investment advisor firms and investment advisors, financial planners, banks, insurance companies, Fortune 500 companies, manufacturing firms, venture capital firms, hedge funds, investment partnerships, high net worth families and individuals, entrepreneurs and investors.

Our firm and our San Diego, Irvine, San Francisco and New York lawyers have compiled an impressive track record and have received numerous awards and recognitions attesting to our expertise and results obtained for our clients in the securities and financial services industries. Our litigation and arbitration lawyers are true “trial lawyers”, handling cases in Federal and State courts and arbitration forums across the country. We know our way around the courtroom as well as the negotiating table. We have:

  • Assisted our broker-dealer, investment advisory and financial planning firms with a host of issues ranging from FINRA and SEC investigations, to transition planning, raiding and employment matters;
  • Represented broker-dealers and registered representatives in “broker protocol” and unfair competition disputes and represented broker-dealers, investment advisers and registered representatives in “intra industry” disputes and disputes with public customers;
  • Recovered hundreds of millions of dollars for defrauded investors, businesses and others;
  • Handled hundreds of litigation and arbitration cases in California, New York and throughout the country. Many of these cases have been “bet the ranch” disputes where clients have turned to our firm to represent them in the most important disputes involving their businesses and themselves. We have been instrumental in recovering hundreds of millions of dollars for our clients and we have successfully defended many of our corporate clients against attack and large, potential liabilities; and
  • Counseled and advised a variety of businesses, small and large, public and private, in a variety of matters including contracts and employment law; internal investigations; corporate governance and many other, day to day legal issues.

Our Core Practice Areas

Our firm’s San Diego, Irvine, San Francisco and New York securities litigation and arbitration lawyers are experienced and knowledgeable in state and federal securities laws and routinely handle arbitrations and litigations in state and federal courts as well as before securities self-regulatory organizations and arbitration forums across the country in disputes involving securities law issues.  We have extensive experience in arbitrating securities related disputes for broker-dealers, registered representatives, investors, investment advisors and various businesses before FINRA (the Financial Industry Regulatory Authority, formerly known as the NASD); the American Arbitration Association (AAA), JAMS, the National Futures Association, the International Chamber of Commerce and other arbitration tribunals throughout the United States and abroad.

Our securities litigation and arbitration attorneys have the knowledge, tenacity and strategy to handle the most complicated and challenging securities fraud and financial fraud cases, including:

  • Breach of fiduciary duty claims against registered investment advisers and others
  • Failure to disclose all the material facts and risks of an investment
  • Failure to conduct due diligence
  • Fraudulent due diligence
  • Failure to know your client
  • Common law fraud and federal, statutory fraud
  • State security law (“blue sky” law) fraud
  • Failure of brokerages to adequately supervise their brokers
  • Unsuitability of investments

Shustak & Partners’ Financial Services Practice Group is comprised of experienced and knowledgeable San Diego, Irvine, San Francisco and New York securities lawyers with hundreds of years of combined experience representing the securities industry, including broker-dealers, investment advisers and their RIA firms, registered and associated persons, hedge funds and investment partnerships.  The Firm has experienced securities and FINRA lawyers who counsel and represent broker-dealers, registered investment advisors and other financial institutions as well as registered and associated persons, investment advisors, financial planners and others in the following areas amongst others:

  • Broker, Investment Adviser & Financial Planner Misconduct
  • Brokerage Firm Defense
  • Transitioning Brokers, Investment Advisers & Financial Planners
  • Newly Registering Investment Advisers
  • Protocol Broker Recruiting and Transitioning
  • Raiding and Recruiting Disputes between Broker-Dealers, RIA and others
  • Forgivable Promissory Note Disputes
  • FINRA and SEC Investigations, Enforcement and Disciplinary Actions
  • State Securities Investigations, Enforcement and Disciplinary Actions


Our firm, and our experienced financial services attorneys, have handled hundreds of FINRA arbitrations for broker-dealers, registered representatives, financial planners, investment advisers and registered investment advisory firms.

Shustak & Partners’ Securities Practice Group has hundreds of years of combined experience in securities regulatory and compliance matters.  We represent broker-dealers, investment advisers, registered persons and others in defense of SEC and FINRA examinations, investigations and disciplinary and enforcement matters; in various compliance and risk management projects; and with internal investigations.  In this practice area, three overarching factors and trends drive strategy for the vast majority of matters: first, the virtually complete linkage between civil claims and regulatory investigations; second, the continuing and increasingly effective cooperation amongst all securities regulators and criminal authorities, particularly the various U.S. Attorneys’ offices around the country; and, third, the increasing insistence of securities regulators on fundamental and sustainable integrity of the systems and processes of regulated entities.  Thus, compliance and risk management, on the one hand, and regulatory/enforcement defense, on the other, are inextricably linked, now more than ever; well-designed and effective internal investigations often provide a key tool to improve client outcomes in this environment.  Some further detail on the types of services we provide:

  • SEC Investigations and Enforcement Matters
  • FINRA Examinations/Investigations/Enforcement/Disciplinary Matters
  • Broker-Dealer and Investment Adviser Compliance/Risk Management
  • Internal Investigations

Shustak & Partners' Litigation and Arbitration Practice Group is comprised of experienced San Diego, Irvine, San Francisco and New York business dispute lawyers with hundreds of years of combined experience.  Our nationwide litigation and arbitration practice handles complex litigation, arbitrations and trials in federal and state courts, and alternative dispute arbitration forums, in California, New York and throughout the country.  While results vary depending on the facts of the case, we have helped past clients save many millions of dollars as well as recover large losses.

Our business dispute attorneys have a strong background in areas ranging from breach of contract, securities and financial fraud to intellectual property law.  Our lawyers are able to competently and aggressively handle claims of unfair competition and unfair business practices, as well as most other types of business law, including:

  • Contract disputes and "business divorces," such as breach of partnership and shareholder disputes
  • Intellectual property disputes, including copyright and trademark infringement
  • Minority shareholder "squeeze-outs" and "freeze-outs"
  • Shareholder derivative claims
  • Class actions in both federal and state court
  • "Ponzi schemes", investment scams, insolvencies and receiverships
  • Bankruptcy litigation, business reorganizations and workouts
  • Real estate disputes
  • Mechanics' liens and foreclosures
  • Employment law, terminations and stock options
  • Unfair competition or unfair business claims


Contact our San Diego, Irvine, San Francisco business dispute lawyers today and have us analyze your situation and case.  Our boutique-style law firm stands out for its ability to handle the most involved legal matters while still providing our clients with close, personal service. The high quality of attention and creative approach we offer allows us to attend to our clients' business needs while remaining very cost-competitive and thorough in our legal representation.

Shustak & Partners' Corporate and Securities Transactions Practice Group consists of experienced and skilled San Diego, Irvine, San Francisco and New York corporate and securities lawyers.  Our corporate and securities transactions attorneys represent a broad spectrum of companies at every stage of corporate existence, from formation through sale or merger of the company. The firm's integrated approach encompasses analysis of shareholder relations, risk management and intellectual property protection, among other things, to help foster an optimal environment for the client's business to prosper.

This is a partial list of our firm's work for clients on corporate and securities transactional matters:

  • Corporate Formation, Operation and Restructuring
  • Representing start-up clients in a broad range of matters including regulatory compliance, private financing, development of restricted stock plans and licensing of technology
  • Drafting services, manufacturing and distribution agreements for clients in a number of industries
  • Negotiating and drafting separation and restructuring agreements for numerous companies to accomplish planned restructurings or to resolve shareholder disputes and/or corporate governance disputes
  • Representing clients in a wide variety of transactions for the sale or acquisition of numerous privately held companies, subsidiaries, product lines or selected assets
  • Advising clients with regard to succession planning and employment agreements accompanying the sale of businesses
  • Advising clients on compliance with federal and state law in conjunction with mergers and acquisitions
  • Negotiating and drafting licensing and assignment agreements for patent and trademark rights
  • Assessing intellectual property rights, including due diligence and opinion work, in connection with protection or sale/acquisition of intellectual property portfolios
  • Prosecuted trademark applications for trade names, taglines and logos
  • Prosecuted copyright applications for clients and advised on copyright protection and infringement
  • Drafting employment agreements and corresponding provisions for assignment of intellectual property rights, non-competition, non-solicitation and protection of confidential and trade secret information