Our Core Practice Areas
Our Firm's attorneys are highly experienced in state and federal securities and business laws and financial services matters. Our clients include broker-dealers, investment advisors, hedge and private equity funds, registered persons, investors, and a wide variety of businesses, public and private. We handle matters in California, New York and across the country. The following are our primary areas of practice:
We routinely handle a wide variety of court litigations, mediations, and arbitrations, and appeals throughout the country. Our court litigations range between state and federal courts throughout the country, and we mediate and arbitrate various disputes before FINRA (the Financial Industry Regulatory Authority), AAA (American Arbitration Association), JAMS, the International Chamber of Commerce and other arbitration forums throughout the country and around the world.
The range of disputes we handle includes:
- Securities and financial fraud cases including "Ponzi" schemes, investment scams, and receiverships
- FINRA disputes between broker-dealers; firms and registered representatives; and disputes by public customers of broker-dealers and other institutions
- Partnership and corporate governance disputes including shareholder and partnership derivative actions
- Intellectual property including copyright and trademark disputes
- Breach of Contract
- Bankruptcy litigation, business reorganizations, and workouts
- Minority partner/shareholder "freeze-outs" and "squeeze-outs"
- Unfair competition and trade secrets claims, including broker transitions, confidentiality and Broker Protocol disputes
- Real estate disputes, real estate fraud, mechanic's and other liens
- Class action defense in state and federal courts across the country
- "Business Divorces" involving disputes between partners and shareholders
- U4, U5, CRD, and defamation disputes in the financial services industry
- Employment disputes involving unlawful termination, stock options and various labor law claims
We have represented broker-dealers, investment advisors, registered representatives, and individuals in FINRA, SEC, State, and other investigative and regulatory proceedings. Our focus is representing our clients in examinations, investigations, and enforcement proceedings; various compliance and risk management projects; and conducting internal investigations and "mock" examinations.
Our experience includes:
- SEC Investigations and Enforcement Proceedings
- FINRA Examinations/Investigations/Enforcement Proceedings
- State Regulatory Examinations/Investigations/Enforcement Proceedings
- Broker-Dealer and Investment Adviser Compliance/Risk Management
- Internal Investigations
Our firm, and our experienced financial services attorneys, have handled hundreds of FINRA arbitrations for broker-dealers, registered representatives, financial planners, investment advisers and registered investment advisory firms.
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.
Shustak Reynolds & Partners represents a broad spectrum of companies at every stage of corporate existence, from formation through sale or merger. The Firm has extensive experience counselling clients in the technology, manufacturing, financial services, marketing, entertainment, fashion, and food and beverage industries. 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 our clients' businesses and start-ups to grow and prosper.
These are some areas in which we routinely represent clients:
- Mergers and Acquisitions
- Corporate/ LLC Formation, Operation, and Restructuring
- Private Securities Offerings and Crowdfunding
- Intellectual Property, Licensing Agreements and Trade Secret Transactions
- Board of Directors and Governance Matters
- Succession and Business Continuity Planning
- Manufacturing and Distribution Agreements
- Regulatory and "Blue Sky" Compliance
- Stock option and Employment Agreements
- Intellectual Property and other Licensing Deals
For over 40 years, Shustak Reynolds & Partners has represented investment advisers, broker-dealers, financial institutions, and registered and associated persons. The Firm has deep experience providing comprehensive counseling relating to all stages of investment adviser and broker-dealer formation, as well as registered person transitions, registrations, and regulation.
These are some areas in which we routinely represent the financial services industry:
- Registered Investment Adviser Formation and Compliance
- Broker-Dealer Formation and Compliance
- Registered Person Transition Between Firms, Trade secrets/Noncompete agreements, and Broker "Protocol" Issues
- SEC, FINRA, and State Regulatory Examinations and Investigations
- Form U4 and Form U5 Matters including Defamation and Expungement
- Regulatory Compliance Program Development, Maintenance, and Advisement
- Creating and Updating Compliance Manuals and Written Supervisory Policies & Procedures
- Risk Assessments and "Mock" Regulatory Examinations
- Employee, Independent Contractor, and Vendor Contracts
- FINRA Disputes between Broker-Dealers, Investment Advisory Firms, Registered Persons and Advisors, and Public Customers Nationwide
- Unfair Competition, Trade Secrets, Confidentiality, and Non-Compete Disputes between Registered Persons and Firms, including "Broker Protocol" and other Employment Transitions
- Employment Disputes including Unlawful Termination, Discrimination, Stock Options, and Compensation, and Various Federal and State Labor Law Issues
We represent many industries, including high tech, construction, manufacturing, banking, finance, and securities firms, accounting, automotive, food distribution, biotech, and others in various labor law counseling and disputes.
Our areas of expertise include:
- Counseling and litigating employment and labor disputes in the financial services industry including wrongful discharge discrimination; CRD, U4 and U5 defamation issues; "forgivable note" disputes; broker-transitions and "Broker Protocol" issues
- Drafting, counseling, and implementation of employee manuals and policies
- Wrongful discharge; breach of contract; stock option and related disputes
- Transition advice for broker-dealers, investment advisory firms, advisors, and registered persons including trade secret and "Broker Protocol" counseling
- Sexual, racial, and other unlawful discrimination and harassment claims
- Drafting and review of employment and stock option contracts; affirmative action plans, personnel policies; counseling on minimum wage, overtime, and related wage and hour issues; workforce reductions; and various employment practices and policies
- Litigating and arbitrating employment related claims before FINRA, AAA, JAMS, and other arbitration forums as well as state and federal courts throughout the country
Our Firm regularly represents fund sponsors and issuers relating to the formation, operation, and regulation of a wide variety of private equity, hedge, real estate, and private investment funds.
The Firm's services include:
- Private Fund Organization and Formation
- Drafting of private placement memoranda, offering documents, and subscription agreements
- Fundraising Issues
- Regulatory Compliance Programs
- Federal and "Blue Sky" Compliance
- Regulation D Matters and Form D Filings
- Analysis of the Securities Act of 1933, the Investment Company Act of 1940, and the Investment Advisers Act of 1940
An Introduction to Our Firm
