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Shustak Reynolds & Partners, P.C. and its Attorneys have been featured in the following articles and publications. Some articles are PDF files and will require Adobe Reader to view.

Erwin Shustak Selected as One of the Best Lawyers in America for 2018

       

Erwin Shustak Selected as One of the Best Lawyers in America for 2018We are pleased to announce that our partner and firm founder, Erwin Shustak, has been selected by his peers for inclusion in Woodward & White's 24th edition (2018) of Best Lawyers in America®.  Read More

Trade Secrets in the Securities Industry: Four Key Issues Transitioning Financial Advisors Must Consider

By: George C. Miller, Esq. & Katherine S. Bowles, Esq.       

Trade Secrets in the Securities Industry:  Four Key Issues Transitioning Financial Advisors Must ConsiderIt is a scenario we encounter often. A financial advisor approaches our firm in a panic. While in the midst of transitioning their client accounts to a new firm—a significant undertaking on its own—they are sued for alleged misappropriation of trade secrets.  Read More

Introducing our Newest Team Member - Elizabeth A. Wright, Associate

       

Introducing our Newest Team Member - Elizabeth A. Wright, AssociateShustak Reynolds & Partners welcomes Elizabeth A. Wright as an associate in its San Diego office.  Read More

Introducing our Newest Team Member - Danny Ballon, Associate

       

Introducing our Newest Team Member - Danny Ballon, AssociateShustak Reynolds & Partners is pleased to announce that Danny Ballon has recently joined the firm as an associate in its San Diego office.  Read More

Meet Our Super Lawyers of 2017!

       

Meet Our Super Lawyers of 2017!We are pleased to announce that four of our attorneys have been selected as Super Lawyers for 2017. Partners Erwin Shustak (6th time selected); Jonah Toleno (1st time selected); and George Miller (3rd time selected) were chosen as 2017 Super Lawyers in the field of Securities Litigation. Associate Jessica Mackanass was selected for the first time in the field of Business Litigation.  Read More

Paul Reynolds Addressed the Association of Business Trial Lawyers in Maui

       

Paul Reynolds Addressed the Association of Business Trial Lawyers in MauiPaul Reynolds was a panelist at the Association of Business Trial Lawyers' annual all-chapter retreat in Maui, HI.  Read More

Meet James J. Reynolds, Our New Partner

       

Meet James J. Reynolds, Our New PartnerShustak Reynolds & Partners is pleased to announce that James J. Reynolds has joined the firm as a partner in its San Diego office.  Read More

How To Prepare For And Give A Deposition Or Other Testimony - A Time To Be Very Careful And Prepared

       

How To Prepare For And Give A Deposition Or Other Testimony - A Time To Be Very Careful And PreparedIn the course of a lawsuit, prior to trial, it is very common for a litigant, or non-party witness, to be called to an attorney’s office to give a Deposition. A Deposition is oral testimony with an attorney asking questions and the deponent (the individual being questioned) answering while a court reporter or tape recorder (or sometimes both) records the testimony.  Read More

Watch Erwin Shustak’s Interview At The 2016 Annual IR Global Conference In Amsterdam

       

Watch Erwin Shustak’s Interview At The 2016 Annual IR Global Conference In AmsterdamWe are proud to be members of IR Global, the fastest growing professional services network in the world. With over 800 members covering 150 jurisdictions, we can offer clients unrivalled global support.  Read More

Dennis Stubblefield’s Radio Interview with LPL Branch Manager Stephen F. Lovell

       

Dennis Stubblefield’s Radio Interview with LPL Branch Manager Stephen F. LovellOur Partner Dennis A. Stubblefield was recently interviewed by LPL Branch Manager Stephen F. Lovell on his weekly radio show, “The Good Life Made Better.” Click here to listen to Dennis talk about pump-and-dump schemes, the top two mistakes made by both advisers and their clients, and knowing when to say “no thanks” to litigation or Finra arbitration.  Read More

Erwin J. Shustak Selected for 23rd Edition of "The Best Lawyers in America"

       

Erwin J. Shustak Selected for 23rd Edition of Erwin J. Shustak, recently was selected by his peers for inclusion in the 23rd Edition of "The Best Lawyers in America" for his work in Financial Services Regulation Law.  Read More

Partner Jonah Toleno Named Finalist for San Diego Magazine's 2016 Woman of the Year Awards

       

Partner Jonah Toleno Named Finalist for San Diego Magazine's 2016 Woman of the Year AwardsPartner Jonah Toleno has been named a finalist for San Diego Magazine's 2016 Woman of the Year Awards.  Read More

2016 FINE Magazine Poll: Top Rated Commercial / Corporate Lawyer in San Diego

       

2016 FINE Magazine Poll: Top Rated Commercial / Corporate Lawyer in San DiegoThe results are in and we are pleased to announce that our partner, Erwin J. Shustak, has been selected as the best Commercial/Corporate lawyer in San Diego, according to the just-released results of a reader poll by Fine Magazine.  Read More

We Congratulate Our Firm's 2016 SuperLawyers

       

We Congratulate Our Firm's 2016 SuperLawyersWe are pleased to announce that partners Erwin Shustak and George Miller have been selected as SuperLawyers for 2016. Erwin was selected as a SuperLawyer for the 6th time and George as a Rising Star SuperLawyer for the second time.  Read More

Jonah Toleno Re-Elected President of the Filipino American Lawyers of San Diego

       

Jonah Toleno Re-Elected President of the Filipino American Lawyers of San DiegoOur partner Jonah Toleno was re-elected as 2016 President of the Filipino American Lawyers of San Diego (FALSD).  Read More

Partner George C. Miller Named a FINRA Arbitrator

       

Partner George C. Miller Named a FINRA ArbitratorPartner George Miller recently was appointed to serve as a neutral arbitrator through the Financial Industry Regulatory Authority's (FINRA) Dispute Resolution forum.  Read More

Partner Paul Reynolds Appointed to Board of the San Diego Association of Business Trial Lawyers

       

Partner Paul Reynolds Appointed to Board of the San Diego Association of Business Trial LawyersPartner Paul Reynolds recently was appointed to the Board of Governors of the San Diego Association of Business Trial Lawyers for a three year term. The ABTL is the premier association for business trial lawyers and members of the San Diego judiciary.  Read More

How Can Firms Insure Against Affinity Fraud?

By: Dennis Stubblefield and Jack Jennings       

How Can Firms Insure Against Affinity Fraud?The short answer is, “Not through any carrier we know.” It is likely that already-stressed broker-dealer professional liability insurance will be found to be either non-responsive or woefully inadequate. However, firms---and we are focusing on independent-contractor broker-dealers---can do a lot to prevent, manage and mitigate the risks of affinity fraud, and other major retail-based threats.  Read More

Transitioning Brokers and the Broker Protocol - What NOT to do When Changing Firms

By: Erwin J. Shustak, Esq., Partner       

Transitioning Brokers and the Broker Protocol - What NOT to do When Changing Firms The Protocol for Broker Recruiting (the "Protocol") was created and adopted by three major wirehouses in 2005- Citigroup Global Markets (Smith Barney), Merrill Lynch and UBS Financial Services- to "further the clients' interest in privacy and freedom of choice in connection with the movement of their Registered Representatives between firms".  Read More

The Impact of FINRA Disciplinary Proceedings on SEC and State Registered Investment Advisers

By: George C. Miller, Esq. & Katherine S. DiDonato, Esq.       

The Impact of FINRA Disciplinary Proceedings on SEC and State Registered Investment AdvisersThe number of “dually registered” financial advisers—those who offer both transactional brokerage services through a broker-dealer and investment adviser services through an RIA—are on the rise. These advisers are subject to oversight by both FINRA and the Securities and Exchange Commission (SEC) or state securities regulators.  Read More

An Overview To Private Placement Of Securities

By: Jeffrey T. Petersen, Esq.       

An Overview To Private Placement Of SecuritiesWhen a company wishes to raise money by offering its securities for sale, whether it’s the in the more typical form of equity securities, or it’s an offering of debt securities, in general that company must make the offering by either registering the securities under the federal and state securities laws, or pursuant to an exemption from those laws.  Read More

SR&P Sponsors Annual IR Global London Conference

By: Shustak Reynolds & Partners       

SR&P Sponsors Annual IR Global London ConferenceWe are pleased to have been a proud sponsor of the IR Global Annual Conference that took place in London in late September. Partner Erwin Shustak, a member of IR Global’s Dispute Committee, attended the conference on behalf of the firm.  Read More

Firm Highlight: Partner Paul Reynolds

By: Shustak Reynolds & Partners       

Firm Highlight: Partner Paul ReynoldsWe are pleased to have Paul rejoin our firm as Partner at our San Diego office. Paul specializes in securities and complex business litigation; civil RICO litigation; FINRA arbitration disputes and defending SEC and FINRA investigations. Paul began his career at the national law firm DLA Piper. To learn more about Paul, read his full biography on our website.  Read More

Trademark Update: The Primary Importance of Secondary Meaning: Attacking Lack of Secondary Meaning on Summary Judgment

Jeffrey T. Petersen, Esq.       

Trademark Update: The Primary Importance of Secondary Meaning: Attacking Lack of Secondary Meaning on Summary Judgment“To establish secondary meaning, a manufacturer must show that, in the minds of the public, the primary significance of [the] term is to identify the source of the product rather than the product itself."  Read More

FINRA Broker Expungement Rules - 2015 Update

Erwin J. Shustak, Esq.       

FINRA Broker Expungement Rules - 2015 UpdateIn the past several years, FINRA, the Securities and Exchange Commission and a number of investor protection groups including PIABA (the Public Investor Arbitration Bar Association) have made a concerted effort to expand and publicize the availability of broker background and CRD records (known as “BrokerCheck”) on the FINRA portal (www.finra.org) and to make the BrokerCheck portal more robust, user friendly and transparent. As a result, more and more of the investing public is aware of, and routinely accesses the BrokerCheck feature on the FINRA web portal to investigate the background of a prospective or existing registered representative. What information appears on a broker’s BrokerCheck, therefore, has become increasingly important to all registered representatives, particularly those with negative disclosure items on their CRD reports, who have an increased desire to seek to expunge some or all of the disclosure items from their CRD and BrokerCheck records.  Read More

The Most Outrageous Investment Advisor Misconduct of 2014

Erwin J. Shustak       

The Most Outrageous Investment Advisor Misconduct of 2014This past year saw investor funds continue to flow into the stock market and the control of the country’s more than 500,000 stockbrokers and investment advisors. While this was another banner year for the stock market, with gains from the S&P above 12%, it was, unfortunately, also a banner year for stockbroker misconduct.

What follows is a list of the most egregious broker/investment advisor stories from this past year. From an advisor charged with stealing from his own mother, to a former Soprano TV star’s spouse charged with penny stock fraud, these cases highlight the downside of financial advisors entrusted with OPM- Other People’s Money.   Read More

George C. Miller Named Shustak Reynolds & Partners’ Newest Partner

George C. Miller       

George C. Miller Named Shustak Reynolds & Partners’ Newest PartnerWe are pleased to announce that our senior associate, George C. Miller, has been named as the firm’s newest Partner. Based in our San Diego office, George’s practice focuses on securities arbitration, litigation and regulatory proceedings and business and employment litigation. Since joining the firm, George has helped recover tens of millions of dollars for the firm’s clients and successfully defended brokerage firms, businesses and individuals against many high stakes, multi-million dollar claims.  Read More

Our Partner Jonah A. Toleno – Incoming President of FALSD

Jonah A. Toleno       

Our Partner Jonah A. Toleno – Incoming President of FALSDWe are pleased to announce that our partner Jonah A. Toleno is the 2015 incoming President of the Filipino American Lawyers of San Diego (FALSD). FALSD is a volunteer-based, non-profit organization dedicated to advancing Filipino American legal professionals and the Asian Pacific American community and providing education, networking and business opportunities for its members. Jonah has served on the FALSD board for the past two years, volunteered with FALSD and other organizations, and mentored young lawyers and law students. We are proud of Jonah’s contributions to the community and support her presidency in the coming year. She will be installed at the 37th Annual FALSD and Pan-Asian American Lawyers of San Diego (PALSD) Dinner on January 29, 2014 at the downtown San Diego Omni Hotel. If you are interested in attending or sponsoring the Annual Dinner, please contact Jonah at [email protected].  Read More

An Overview of Trademark Trial and Appeal Board Opposition Proceedings

Jeffrey T. Petersen, Esq.       

An Overview of Trademark Trial and Appeal Board Opposition ProceedingsThe Trademark Trial and Appeal Board (the “TTAB” or the “Board”) is an administrative board for the United States Patent and Trademark Office (the “PTO”) that decides adversary proceedings between two parties involving registration of trademarks with the PTO.
One such adversary proceeding is called an opposition, in which one party (“Opposer”) is able to object to the application of another party ( “Applicant”) for registration of a trademark.[1] In such a proceeding, Opposer will typically allege the application should be rejected in whole or in part due to (1) Opposer’s prior use of its own trademark, and (2) the likelihood of confusion between Applicant’s mark and Opposer’s prior mark.
The focus of this overview is on: (1) the relief the TTAB can grant in an opposition; (2) the procedures for filing and prosecuting / defending an opposition; and (3) the appellate rights from an opposition ruling by the TTAB, as well as the ruling’s effect on subsequent trademark infringement litigation.  Read More

Erwin J. Shustak Named 2014 Top Rated Litigator

Erwin J. Shustak       

Erwin J. Shustak Named 2014 Top Rated LitigatorWe are pleased to announce that Erwin Shustak, Managing Partner of Shustak Reynolds & Partners, was selected as a “2014 Top Rated Litigator” by American Lawyer and Corporate
Counsel magazines. This recognition highlights lawyers who have achieved an AV Preeminent Peer Review Rating by Martindale-Hubbell. Erwin was selected for this prestigious award along with a select few fellow attorneys in San Diego.
"Helping people and companies who have been pushed around or taken advantage of has always been our mission. We level the playing field for our clients. We are never out-lawyered".   Read More

Shustak Reynolds & Partners To Host Upcoming Financial Services Institute Anual Conference in Texas

       

Shustak Reynolds & Partners To Host Upcoming Financial Services Institute Anual Conference in TexasShustak Reynolds & Partners is proud to announce it will be a Sustaining Law Firm sponsor for this year’s annual Financial Services Institute's "One Voice" Conference to be held January 26-28 in San Antonio, Texas. FSI is the a national organization formed to serve, and its membership is comprised of retail broker-dealer firms who serve independent contractor registered representatives.
This year's "One Voice" meeting is expected to have over 750 attendees. Shustak Reynolds & Partners, which serves the financial services community, is one of a handful of law firms sponsoring the event.  Read More

Hidden Obamacare Bomb Set to Strike Small Businesses

John H. Barkley, Esq.       

Hidden Obamacare Bomb Set to Strike Small BusinessesThink Obamacare doesn’t apply to your small business? Think again.
The hidden bomb lies within the penalties employer health plans face if they do not comply with the “Market Reforms” of the ACA. These rules apply to every employer health plan, regardless of the size of the employer and the penalty is $100 per employee, per day (up to $36,500 per year, per employee).   Read More

Shustak Reynolds & Partners, P.C. Congratulates "Young Attorney" Finalist George C. Miller, Esq.

       

Shustak Reynolds & Partners, P.C. Congratulates Shustak Reynolds & Partners, P.C. is pleased to announce that their Senior Associate George C. Miller, Esq. has been named a finalist for the San Diego Daily Transcript’s “Young Attorney” list.  Read More

Fall 2014 FINRA Update: Automated Customer Account Data Collection, Arbitrator Diversity And Higher Arbitration Fees

Robert L. Hill, Esq. & George C. Miller, Esq.       

Fall 2014 FINRA Update: Automated Customer Account Data Collection, Arbitrator Diversity And Higher Arbitration FeesFINRA’s Account Data Collection System Under Scrutiny In recent years, everyone—from businesses, to government agencies and individuals— has turned to technology to simplify life and streamline the way things are done. Or at least that is the idea behind the Financial Industry Regulatory Authority’s (FINRA) proposed Rule 4540 and “Comprehensive Automated Risk Data System” (CARDS), a massive technology-based initiative that would require brokerage firms to upload detailed account information and trade data to FINRA for computerized, rule-based analysis. FINRA believes the initiative will allow it to more closely supervise brokerage firms, monitor trading activity and detect wrongful or suspicious activity more quickly and less expensively than traditional review methods. Regulators also claim the routine collection of trade data will lessen the burden on firms during FINRA examinations and inquiries.  Read More

Employers: Are You Ready for the Affordable Care Act?

John H. Barkley, Esq.       

Employers: Are You Ready for the Affordable Care Act?This coming January, the rubber meets the road when it comes to employers having to provide minimum essential health insurance coverage to their full-time employees. At first glance, the final regulations published by the IRS this past February seem serpentine, but they represent a good-faith effort by the IRS to create a workable system for employers to follow in order to comply with the Affordable Care Act (“ACA”). The Act and the Regs lay out what employers must do to follow the law, this article is meant to make certain aspects of the law easier to understand in real-life and suggest some “best practices” to avoid accidental violations.  Read More

Eating “Healthy” – What do ‘Organic,’ ‘GMO-free,’ ‘Vegan,’ and ‘Gluten-Free’ really mean, and who makes the rules?

By John H. Barkley, Esq. SHUSTAK REYNOLDS & PARTNERS, P.C. July 2014       

Eating “Healthy” – What do ‘Organic,’ ‘GMO-free,’ ‘Vegan,’ and ‘Gluten-Free’ really mean, and who makes the rules?

Americans are becoming more conscious of where their food comes from each passing day. Just recently, in Prop 37, California voters considered requiring labels on food that contained genetically engineered organisms.

Today Organic, GMO-free, Gluten-free, and other ingredient-sensitive terms have joined vegetarianism and veganism as popular lifestyle choices (except for Gluten-free, which is also associated with people suffering from Celiac disease). What do these titles mean? Are labels on food to be trusted? Who makes the rules? This article will provide an overview of each, and hopefully point the reader to primary sources of information and law.   Read More

Representing Clients in SEC Investigations

By Dennis A. Stubblefield July 2014       

Representing Clients in SEC Investigations  Read More

Dennis Stubblefield Joins Our Firm – Our Newest Partner

Dennis Stubblefield        1 July 2014

Dennis Stubblefield Joins Our Firm – Our Newest PartnerWe welcome our new partner, Dennis Stubblefield, to the firm. Dennis, who will head the firm’s Orange County office in Irvine, served nearly seven years with the SEC’s Enforcement Division. His practice will continue to emphasize defense of SEC and FINRA investigations and enforcement actions, broker-dealer and investment adviser compliance and risk management, internal investigations, and representation of broker-dealers and financial services firms and individuals in litigation and arbitration matters.  Read More

$5 Million Arbitration Award We Obtained Against Morgan Stanley for Two Broker Clients Reinstated and Confirmed on Appeal

by Erwin. J. Shustak, Esq. SHUSTAK REYNOLDS & PARTNERS, P.C. July 2014       

$5 Million Arbitration Award We Obtained Against Morgan Stanley for Two Broker Clients Reinstated and Confirmed on AppealAlthough it took almost two years, we are pleased to announce that a $5 million arbitration award we obtained for two firm clients has been confirmed on appeal. On June 30th the California Court of Appeal reversed a lower court and reinstated and confirmed a $5 million arbitration award that a San Diego-based FINRA panel assessed against Morgan Stanley in favor of our clients, two brokers whom Morgan Stanley had recruited from UBS in 2008. In reversing the trial court and confirming the arbitration award, the Court of Appeals overturned the lower court’s order which had vacated the award on the grounds that one of the three arbitrators, industry panelist Barry Kersh, failed to make required disclosures when he was selected as one of the three panelists to hear the case.  Read More

Recent Recognitions of Our Firm

July 2014       

Recent Recognitions of Our FirmWe are pleased to announce that three of our attorneys received the 2014 San Diego Business Journal ”Best of the Bar” Award in several categories: Erwin Shustak – Securities Litigation and Business Litigation; Jonah Toleno – Securities Law and Business Litigation; and George Miller – Securities Arbitration and Business Litigation. From more than 200 attorneys in San Diego, Erwin, Jonah and George were chosen as the most outstanding in San Diego after over 1,000 votes were cast from 146 firms throughout the area. Shustak Reynolds & Partners congratulates Erwin, Jonah and George, and all of the 2014 “Best of the Bar” honorees.   Read More

“We’re in it to win it,” said George C. Miller of Shustak Reynolds & Partners, P.C. – and win it they did!

       

“We’re in it to win it,” said George C. Miller of Shustak Reynolds & Partners, P.C. – and win it they did!We are proud to announce that our firm took top honors for cash donated and number of suits collected in the small firm category of LAWSUITS, a cash and professional clothing drive for local law firms organized by Second Chance and Chaired by San Diego District Attorney Bonnie Dumanis. Our firm collected 18 suits and other professional clothing and $500 in cash donations which will be made available to graduates of Second Chance’s job readiness training program. The program helps at-risk youth, the homeless, recovering addicts and former prisoners reenter the community and workforce.  Read More

Crowdfunding Under the JOBS Act: What Investors Need to Know

By: George C. Miller, Esq. SHUSTAK REYNOLDS & PARTNERS, P.C. November 2013       

Crowdfunding Under the JOBS Act: What Investors Need to KnowIn April 2012, Congress enacted the “Jumpstart Our Business Startups Act”—or JOBS Act—as part of the federal government’s ongoing efforts to stimulate the economy. The Act was intended to spur small business growth by loosening decades-old rules prohibiting the solicitation and sale of private placement investments to the general public. Through the new “crowdfunding exemption” to the registration requirements of the Securities Act of 1933, Title III of the JOBS Act gives startup companies the go-ahead to raise up to $1 million in investment capital per 12 month period from everyday (e.g., non-accredited) investors.   Read More

Affordable Care Act (“Obamacare”) Compliance of Employers is Tougher Than It Sounds

By John H. Barkley, Esq., Partner, San Diego Office       

Affordable Care Act (“Obamacare”) Compliance of Employers is Tougher Than It SoundsI recently attended a professional CFO roundtable as a subject matter expert on Obamacare compliance issues for employers. It was an excellent discussion which included CFO’s from firms ranging in size from less than 50 to more than 250 employees.  Read More

Our Partner, Erwin Shustak, Named Top Rated Attorney 2013

       

Our Partner, Erwin Shustak, Named Top Rated Attorney 2013We are pleased to announce that our Managing Partner, Erwin J. Shustak, has been selected as one of the Top Commercial Litigation Attorneys of 2013 by Corporate Counsel and The American Lawyer magazines, published by American Legal Media. We are proud that our partner, and our firm, has received this national recognition.   Read More

JESSICA H. ANTONIADES, ESQ. – OUR NEWEST ADDITION

JESSICA H. ANTONIADES, ESQ.       

JESSICA H. ANTONIADES, ESQ. – OUR NEWEST ADDITIONShustak Reynolds & Partners is pleased to announce that Jessica H. Antoniades has joined the firm as an associate in its San Diego office. Jessica’s practice focuses on civil litigation and arbitration, primarily in the areas of securities fraud and employment disputes. Prior to joining the firm, Jessica practiced civil litigation here in San Diego, representing plaintiffs in personal injury, medical malpractice, and employment matters.
Jessica earned her Bachelor of Arts, cum laude, in Political Science and English from the University of Washington. She then graduated magna cum laude from the University of San Diego School of Law, where she was Executive Editor of the San Diego Law Review. During law school, Jessica also served as a Judicial Extern for the Honorable William Q. Hayes and the Honorable Marilyn L. Huff, both of the United States District Court for the Southern District of California.
Learn more About Jessica          Read More

Recent Honors And Recognitions Within Our Firm 2013 Top Rated Lawyers In Securities Law

       

Recent Honors And Recognitions Within Our Firm 2013 Top Rated Lawyers In Securities LawErwin J. Shustak, Esq. and Jonah A. Toleno, Esq. have been selected as “2013 Top Rated Lawyers in Securities Law.”  Read More

Shustak Reynolds & Partners Obtains Pre-Hearing Dismissal Of Finra Arbitration Claim On Behalf Of Broker-Dealer Client

George C. Miller, Esq.       

Shustak Reynolds & Partners Obtains Pre-Hearing Dismissal Of Finra Arbitration Claim On Behalf Of Broker-Dealer ClientSan Diego, CA — Shustak Reynolds & Partners, P.C., of San Diego, New York and San Francisco announces that it has successfully obtained an order dismissing, pre-hearings, a Financial Industry Regulatory Authority (“FINRA”) arbitration claim due to the Claimant’s failure to cooperate in discovery.   Read More

Newest Addition

       

Newest AdditionShustak Reynolds & Partners welcomes new Partner John Barkley to the firm. John, who practices from the firm’s San Diego office, is a tax and business attorney who’s represented and advised clients on a range of matters relating to taxation and all aspects of operation of clients’ businesses.  Read More

Effectively Using Non-Retained Experts In Commercial Litigation

       

Effectively Using Non-Retained Experts In Commercial LitigationLitigants often overlook the value of non-retained expert witnesses in commercial litigation. Yet these witnesses can educate a judge or jury on countless complex topics without the costs associated with a retained expert that may be perceived to be a “hired gun” being paid to provide a specific expert opinion.  Read More

Shustak Reynolds & Partners – Awards

       

Shustak Reynolds & Partners – AwardsWe are proud to announce that three of our partners recently received recognition from several publications.  Read More

Tips for Investors and Financial Professionals: What is an Investment Adviser?

George C. Miller,Esq. SHUSTAK REYNOLDS & PARTNERS, P.C. April 2013       

Tips for Investors and Financial Professionals: What is an Investment Adviser?The global financial crisis brought unprecedented change to the securities industry. Investment banks and brokerage firms once thought to be insulated from the ebbs and flows of the market failed outright or were brought to the brink of bankruptcy.  Read More

Intellectual property lawsuits risk exposing company secrets

       

Intellectual property lawsuits risk exposing company secretsHow is your smartphone so smart? How does your Xbox do that? The answers to these questions are what technology giants, like Microsoft and Google, are trying to keep quiet.  Read More

Our Partner, Erwin Shustak, Named Top Rated Attorney 2013

Erwin Shustak, Esq.       

Our Partner, Erwin Shustak, Named Top Rated Attorney 2013According to the article, Erwin Shustak’s inimitable perspective and perception have protected clients to the tune of hundreds of millions recovered for victims of financial abuse and fraud.
“Over the years, I realized I could combine my keen interest in uncovering truth and getting to the bottom of an issue with my desire to help people who have been victimized and stand between those who sought to oppress others and those who otherwise would be victims. Being a lawyer seemed to be the best and highest use of my talents, skills, and desires to help the unfortunate. It was a perfect fit,” says Shustak.   Read More

Tips for Financial Advisors: How to Avoid the Pitfalls of Misrepresentation During the Recruitment Process

By George C. Miller, Esq., Associate Attorney       

Tips for Financial Advisors: How to Avoid the Pitfalls of Misrepresentation During the Recruitment ProcessMost people do not associate Philadelphia with the birth of the modern American securities industry, instead picturing early traders auctioning stocks under trees on the street corners of downtown Manhattan. But in 1790, the “City of Brotherly Love” spawned the nation’s first market maker.  Read More

Morgan Stanley Smith Barney Ordered to Pay $5 Million to Recruited Brokers

       

Morgan Stanley Smith Barney Ordered to Pay $5 Million to Recruited BrokersSan Diego, CA — Shustak Reynolds & Partners, P.C., announces that it obtained a FINRA Panel award of $5 million dollars for a team of two San Diego based financial advisors who were recruited by Morgan Stanley and falsely induced to leave their positions at UBS in the summer of 2008.   Read More

Shustak Reynolds & Partners, P.C. Successfully Obtains Dismissal Before Trial of All Claims Asserted Against a Large Financial Institution Client

       

Shustak Reynolds & Partners, P.C. Successfully Obtains Dismissal Before Trial of All Claims Asserted Against a Large Financial Institution ClientSan Diego, CA, June 29, 2012 /24-7PressRelease/ — Shustak Reynolds & Partners, P.C., announces that it won summary judgment for a large financial institution, and successfully obtained the dismissal of all claims asserted against the company, avoiding a long and potentially costly jury trial.  Read More

Shustak Reynolds & Partners, P.C. Obtains $622,000.00 FINRA Arbitration Award Against Fidelity Investments on Behalf of an 86 Year Old

       

Shustak Reynolds & Partners, P.C. Obtains $622,000.00 FINRA Arbitration Award Against Fidelity Investments on Behalf of an 86 Year OldSan Diego, CA — Shustak Reynolds & Partners, P.C., announces that it obtained a $622,000.00 FINRA arbitration award against Fidelity Brokerage Services LLC (“Fidelity”) on behalf of an 86 year old investor who had opened a joint account at a San Diego Fidelity office.  Read More

Shustak Reynolds & Partners, P.C. Obtains $486,615 FINRA Arbitration Award Against MSSB and Citigroup for Misrepresentations Made to Financial Advisor During Recruitment

       

Shustak Reynolds & Partners, P.C. Obtains $486,615 FINRA Arbitration Award Against MSSB and Citigroup for Misrepresentations Made to Financial Advisor During RecruitmentSan Diego, CA — Shustak Reynolds & Partners, P.C., announces that it obtained a $486,615.77 FINRA arbitration award against Morgan Stanley Smith Barney (“MSSB”), Citigroup Global Markets Holdings, Inc. and Citigroup Global Markets, Inc. (“Citigroup”) on behalf of a financial advisor formerly employed by Citigroup’s Smith Barney division (“Smith Barney”) and its successor, MSSB.  Read More

Apple and Samsung to Discuss Settlement Over Patent Lawsuits May 21

       

Apple and Samsung to Discuss Settlement Over Patent Lawsuits May 21On behalf of Shustak Reynolds & Partners, P.C.  Read More

SEC issues new report on using social media to connect with investors

       

SEC issues new report on using social media to connect with investorsOn behalf of Shustak Reynolds & Partners, P.C.  Read More

Carlyle Group Abandons Mandatory Arbitration Clause in Its IPO

       

Carlyle Group Abandons Mandatory Arbitration Clause in Its IPOOn behalf of Shustak Reynolds & Partners, P.C.  Read More

Our Managing Partner, Erwin Shustak, Selected As One Of “San Diego’s Top Influentials” Of 2012

Erwin Shustak, Esq. December,2011        

Our Managing Partner, Erwin Shustak, Selected As One Of “San Diego’s Top Influentials” Of 2012We are pleased to announce that Erwin Shustak, the Firm’s founder and Managing Partner, has just been selected by the San Diego Daily Transcript, San Diego’s leading business publication, as one of “San Diego’s Top Influentials” for 2012. Over 300 nominations were submitted to The Transcript for persons whose actions and opinions strongly influence their industry and the San Diego business community. We are pleased that The Transcript’s Editorial Board recognized Erwin’s efforts and chose him as one of the select few to receive this prestigious, annual award.  Read More

The Effect of California’s Expungement Rules on Registered Representatives and Investment Advisors

By: George C. Miller, Esq., Shustak Reynolds & Partners, P.C., California and New York December, 2011       

The Effect of California’s Expungement Rules on Registered Representatives and Investment Advisors  Read More

Forgivable Up-Front Notes in the Securities Industry – A Pot of Gold or “Golden Handcuffs”

By: Erwin J. Shustak, Esq., Managing Partner, Shustak Reynolds & Partners, P.C., California and New York December, 2011       

Forgivable Up-Front Notes in the Securities Industry – A Pot of Gold or “Golden Handcuffs”  Read More

Legal and Disciplinary Disclosure Requirements for Registered Investment Advisers

By: Jonah A. Toleno, Esq., Shustak Reynolds & Partners, P.C., California and New York July, 2011       

Legal and Disciplinary Disclosure Requirements for Registered Investment AdvisersThe U.S. Securities and Exchange Commission (SEC) defines an investment adviser as “an individual or firm that is in the business of giving advice about securities to clients.  Read More

The U.S. Supreme Court Endorses Arbitration Clauses in Consumer Contracts Which Contain Waivers of the Right to Class Action Resolution

By: Erwin J. Shustak, Esq., Managing Partner, Shustak Reynolds & Partners, P.C., California and New York July, 2011       

The U.S. Supreme Court Endorses Arbitration Clauses in Consumer Contracts Which Contain Waivers of the Right to Class Action ResolutionIn a significant setback for consumers, the United States Supreme Court has endorsed and upheld contractual arbitration clauses in which the consumer has waived the right to class action resolution, through arbitration or litigation.  Read More

Erwin J. Shustak Named Southern California Super Lawyer of 2009

By: Erwin J. Shustak, Esq., Shustak Reynolds & Partners, P.C., California and New York August, 2009       

Erwin J. Shustak Named Southern California Super Lawyer of 2009  Read More

FINRA Proposes to Increase the Number of Arbitrators Available for Ranking and Selection

By: George C. Miller, Esq., Shustak Reynolds & Partners, P.C., California and New York July, 2010       

FINRA Proposes to Increase the Number of Arbitrators Available for Ranking and SelectionThe Financial Industry Regulatory Authority (FINRA) recently submitted a proposal to the Securities and Exchange Commission (SEC) to increase the number of arbitrators available for ranking and selection in an arbitration claim.  Read More

Regulators Caution Investors: Look Out for Fraudulent Oil Spill Investment Scams

By: Jonah A. Toleno, Esq., Shustak Reynolds & Partners, P.C., California and New York July, 2010       

Regulators Caution Investors: Look Out for Fraudulent Oil Spill Investment ScamsThe U.S. Securities Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) recently issued an alert cautioning investors to be wary of investment scams arising out of the catastrophic BP oil spill that began in April 2010.  Read More

  • When Management Pushes Managed Accounts

    By: Erwin J. Shustak, Esq., Shustak Reynolds & Partners, P.C., California and New York
    January 2008

  • Senior Partner Erwin J. Shustak Named Southern California Super Lawyer of 2007

    May, 2007

  • The Arbitration Process in the United States

    By: Thomas C. Frost, Shustak Reynolds & Partners, P.C., New York and California
    February, 2007
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  • What’s In A Name? Protecting Your Securities Offering Through The Use Of Exempt “Finders”

    By: John Cleary, Esq., Shustak Reynolds & Partners, P.C., New York and California
    February, 2007
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  • Best Practices to Use During the SEC Examination

    By: Michelle Jacko, Esq., Shustak Reynolds & Partners, P.C., New York and California
    February, 2007
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  • Federal Court Invalidates Hedge Fund Regulation

    By Erwin J. Shustak, Senior Partner, Shustak Reynolds & Partners, P.C., New York and California
    September, 2006
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  • When the American Dream Turns Into a Nightmare: A Suitability Standard Will Soon Govern the Mortgage Industry

    By: John Cleary, Esq., Shustak Reynolds & Partners, P.C., New York and California
    September, 2006
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  • When Innocent Investors Become Losers – Litigating the Ponzi Scheme Case

    By: Teresa Gillis, Esq., Shustak Reynolds & Partners, P.C., New York and California
    September, 2006
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  • The Benefits of Having a Mock SEC Examination

    By: Michelle Jacko, Esq., Shustak Reynolds & Partners, P.C., New York and California
    September, 2006
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  • WHEN INNOCENT INVESTORS BECOME LOSERS

    Litigating the Ponzi Scheme Case
    August 06, 2006
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  • MORTGAGE SUITABILITY

    When the American Dream Turns Into a Nightmare
    June 06, 2006
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  • How To Prove Damages and Ask For The Right Remedy

    By: Erwin J. Shustak, Thomas C. Frost and R.J. McCarthy, Shustak Reynolds & Partners, P.C.
    March, 2006
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  • FEDERAL SECURITIES LITIGATION UPDATE:THE SUPREME COURT REINS IN FRAUD CASES

    By: Erwin J. Shustak, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY and CA
    August, 2005
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  • ANNUITIES: THE NEXT WAVE OF CUSTOMER DISPUTES?

    By: Erwin J. Shustak, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY and CA
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  • WHAT IS SECURITY?

    By: James P. Jalil, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY
    June, 2005

  • NASD RULE ON SUBPOENAS and Orders To Produce or Appear

    By: Erwin J. Shustak, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY and CA
    May, 2005
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  • SEC COMMENTS on Hedge Fund Lock Ups

    By: Richard Heller, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY
    May, 2005

  • NASD NOTICE; Recent Developments in Broker-Dealer Law

    By: Richard Heller, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY
    February, 2005
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  • Registering Hedge Fund Advisors; Form ADV To Include Hedge Fund Advisers.

    By: Richard Heller, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY
    October, 2004

  • SEC Seen Softening Sales Disclosure Proposal.

    Article published October 26, 2004 – The Registered Rep
    October, 2004

  • Form U-5 Defamation Liability; A Slippery Slope.

    By: Erwin J. Shustak, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY and CA
    August, 2004
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  • Preparing For Your First 10-K

    By: James P. Jalil, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY
    August, 2004
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  • Proposed New Rule Changes To Hedge Funds.

    By: Richard Heller, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY
    August, 2004

  • SECURITIES ARBITRATION COMMENTA

    Read Article – PDF Version

  • Hedge Funds; Exempt From Registration and Regulation?

    By: Richard Heller, Esq., Senior Partner, Shustak Reynolds & Partners, P.C., NY
    June, 2004
    Read Article – PDF Version

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