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Brokerage Firm Defense

Defending Brokerage Firms in California, New York and Around the U.S.

From our San Diego, Irvine, Los Angeles, San Francisco and New York, offices, Shustak Reynolds & Partners, P.C., represents brokerage firms around the country. We defend such firms against claims from dissatisfied customers and brokers as well as any disputes with other brokerage firms. Our free initial consultation is the first step to defending your firm in any disputes so feel free to schedule a consultation today.

Our San Diego, Irvine, Los Angeles, San Francisco and New York City brokerage firm defense attorneys provide experienced, aggressive and strategic advocacy to brokerage firms, registered investment advisers and financial advisers in a wide variety of complex securities litigation and arbitration matters and other legal claims, including the following:

  • Investment fraud
  • Breach of fiduciary duty
  • Unsuitability of investments
  • Raiding claims
  • Misrepresentation of information
  • Failure to disclose material information
  • Noncompliance with securities laws and regulations
  • Internal investigations
  • Churning
  • Overcharges
  • Excessive use of margin
  • Selling away
  • Employment disputes with former registered representatives, including claims of defamation or unfair termination arising out of U-4 and U-5 CRD reporting
  • U.S. Securities and Exchange Commission (SEC) charges

Attorney Erwin J. Shustak has been practicing law for more than 38 years. Together, the lawyers of Shustak Reynolds & Partners, P.C. have hundreds of years of combined legal experience.

Catering to Your Firm’s Unique Needs

At Shustak Reynolds & Partners, P.C., the high quality of attention that we offer allows us to attend to our clients’ specific needs and concerns while still being efficient, competitive and thorough in our legal counsel and representation. Our locations in New York and California allow us to continue that attentive care throughout the country. So no matter where your brokerage firm is located, you are not too far from one of our top defense lawyers.

Contact our FINRA Defense Lawyers Today 

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