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Representation of Broker-Dealers, Registered Persons & Investment Advisers

Representing Brokerage Firms, Registered Persons & Investment Advisers

Shustak Reynolds & Partners Securities Practice Group has over 35 years experience representing the securities industry, registered and associated persons. 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. These are some of the areas in which we routinely represent the financial services industry:

  • Broker, Investment Adviser & Financial Planner Misconduct
  • Brokerage Firm Defense
  • Transitioning Brokers, Investment Advisers & Financial Planners
  • Newly Registering Investment Advisers
  • Protocol Broker Recruiting

Listen to the Webinar our firm created for the Financial Services Institute on "Broker Transitions: An Overview of Legal and Practical Considerations". This Webinar is critical to brokers considering a transition to another firm and recruiters who routinely deal with brokers in transition.

Broker Transitions: An Overview of Legal and Practical Considerations



Schedule a free initial consultation by calling Shustak Reynolds & Partners, P.C. toll free at 888-748-8748, or contact us online.