Defending Brokerage Firms in California, New York and Around the U.S.
From our San Diego and Manhattan, New York, offices, Shustak Frost & Partners represents brokerage firms around the country. We defend such firms against claims from dissatisfied customers and brokers as well as in disputes with other brokerage firms.
Our New York and San Diego brokerage firm defense attorneys provide experienced, aggressive and strategic advocacy to brokerage firms, registered investment advisers and financial advisers in a wide variety of complex securities litigation and arbitration matters and other legal claims, including the following:
- Investment fraud
- Breach of fiduciary duty
- Unsuitability of investments
- Raiding claims
- Misrepresentation of information
- Failure to disclose material information
- Noncompliance with securities laws and regulations
- Internal investigations
- Churning
- Overcharges
- Excessive use of margin
- Selling away
- Employment disputes with former registered representatives, including claims of defamation or unfair termination arising out of U-4 and U-5 CRD reporting
- U.S. Securities and Exchange Commission (SEC) charges
Attorney Erwin J. Shustak has been practicing law for more than 36 years. Together, the lawyers of Shustak Frost & Partners have hundreds of years of combined legal experience.
Catering to Your Firm's Unique Needs
At Shustak Frost & Partners, the high quality of attention that we offer allows us to attend to our clients' specific needs and concerns while still being efficient, competitive and thorough in our legal counsel and representation. Our locations in New York and California allow us to continue that attentive care throughout the country. So no matter where your brokerage firm is located, you are not too far from one of our top defense lawyers.
Contact a New York or San Diego Broker Misconduct Attorney
Schedule a free initial consultation by calling Shustak Frost & Partners toll free at 888-748-8748, or contact us online. Se habla español / Nagsasalita kami ng Tagalog.
