Shustak Reynolds & 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 Reynolds & 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