Broker Dealer Full Service Legal Team: Broker Misconduct Lawyers and Stock Broker Regulatory Lawyers

Broker Misconduct Lawyer and Stock Broker Customer Dispute Lawyer Disputes:
Shustak Frost & Partners has handled a wide variety of matters for registered broker-dealers. Our firm's expertise in handling broker-dealerclient disputes can help prevent accusations and the need for a broker misconduct lawyer or a stock broker regulatory lawyer. Our firm can assist you if are accused of fraud, misconduct, breach of fiduciary duty or churning by customers or investors seeking retribution for investment losses. Our well trained qualified staff of attorneys understands the issues and your needs. We are ready to defend you against these kinds of accusations. In the past Shustak Frost & Partners has acted as broker misconduct lawyer and stock broker regulatory lawyer and, in such capacity, has performed many of these services and more:

• Disciplinary hearings before the SEC, NASD and other SROs involving Firms and Registered Representatives;
• Broker dealer misconduct lawyer mediations with disgruntled representatives and/or employees;
• Alleged compliance violations;
• Disputes between registered representatives and Member Firms, including "Forgivable Note" and breach of promise and contract disputes;
• Securities Arbitrations Before the NASD, NYSE and other SROs.

With our history of registering and representing broker-dealer firms and registered representatives, we understand the complexity of the securities business. Our understanding of the industry allows us to best represent our clients. Shustak Frost & Partners has handled a wide variety of cases for registered persons and firms. We understand that when you are being accused of fraud, breach of fiduciary duty, churning or other misconduct, the stress can be overwhelming. We know that just looking for a skilled broker dealer misconduct lawyer or stock broker regulatory lawyer can be a difficult task. We also understand that merger and acquisition and non-solicitation disputes between new broker-dealer groups can be trying. That is why we strive to make your life as easy as possible by providing consistent quality legal advice through our specialized broker misconduct lawyers and stock broker regulatory lawyers.

Broker-Dealer Formation
Shustak Frost & Partners has extensive experience in the formation, registration and compliance of broker-dealer firms and affiliated persons. Over the years, Shustak Frost & Partners has formed and obtained NASD registration for hundreds of brokerage firms across the country. Given our years of experience, we understand the complexity of the registration process. Shustak Frost & Partners can assist you in the completion of forms, submission of supporting documentation and filing to the appropriate NASD District Office. Shustak Frost & Partners’ services for Broker-Dealers and registered representatives includes, among other things:

• Formation and registration of the broker-dealer entity
• Mergers and acquisitions
• Creating Written Supervisory Procedures (WSPs) and necessary brokerage forms and agreements
• Transitioning process: moving from one broker-dealer to another
• Assistance with NASD Rules 3010, 3012 and 3013 requirements (CEO Certification)
• Anti-money laundering programs
• Regulation S-P (Privacy Policies)
• Customer complaint responses
• Compliance with books and records requirements
• Continuing education
• Licensing and registration of registered persons and entities
• Broker-dealer advertising and sales literature reviews
• Business continuity and disaster recovery plans
• Broker-dealer sales transactions and practices
• Best execution reviews
• Surveillance solutions and creation of exception reports
• Guidance to regulatory and compliance issues, concerns and interpretations

Broker-Dealer Transitioning
One of the most challenging aspects in a representative's career is moving from one broker-dealer firm to another. Shustak Frost & Partners is here to help and provides the following services:

• Adviser to new business plan
• Advisement on business structure
• Formulation of business structure
• Counsel on state and federal securities laws, rules, regulations and requirements
• Review of legal agreements with current employer and creation and counseling of lawful "exit" strategies
• Review and drafting of new client agreements
• Registration with regulatory agencies
• Development of policies and procedures for new independent practice

Mergers and Divestitures
Shustak Frost & Partners assists broker-dealers in the acquisition, merger and dissolution of the registered entity. With experienced counsel to guide you through the complexities of the process, Shustak Frost & Partners has assisted numerous firms successfully complete the process in as little as 90 days.

Broker- Dealer full Service Team
Shustak Frost & Partners well trained team can provide you with the best broker misconduct lawyers and broker regulatory lawyer to help you in your time of need. Our staff is here to provide you with all of the expertise that you may require. Shustak Frost & Partners also can serve as integral support for your legal and compliance program. For more information, please contact our Managing Partner, Erwin J. Shustak, at shustak@shufirm.com. Shustak Frost & Partners believes in providing top quality counsel by catering to you needs as if you were our only client.