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Broker Misconduct / Breach of Fiduciary Duty

Handling Misconduct Claims Against Brokers, Registered Investment Advisers and Financial Planners

At Shustak Reynolds & Partners, P.C., we help investors see beyond appearances and avoid choosing unqualified or dishonest brokers, investment advisers and financial planners. We have litigated a wide variety of disputes involving investors, registered representatives and broker-dealer misconduct in California, New York and across the country. Let us handle your broker misconduct claim by scheduling a free initial consultation to discuss your case.

Our San Diego broker misconduct attorneys can also assist you if you are accused of financial fraudsecurities fraudPonzi schemes or any other wrongdoing by customers or investors seeking retribution for their investment losses. Our San Diego and Manhattan, New York, securities attorneys understand the industry, the legal issues and your needs. We are ready to defend you against accusations of wrongdoing by clients, FINRA, the SEC, the National Futures Association and other federal and state regulatory agencies.

Shustak Reynolds & Partners, P.C., has handled the following matters and more:

  • Disciplinary hearings before the SEC, FINRA, the NFA, state securities regulators and other SROs involving member firms and registered representatives
  • Broker-dealer misconduct lawyer mediation, arbitration and litigation involving employment disputes, bad faith terminations, U-4 and U-5 CRD issues and expungement
  • Alleged compliance violations
  • Disputes between registered representatives and member firms, including “forgivable notes” and breach of promise and contract disputes
  • Securities arbitration before FINRA, the NFA and other SROs

Skilled Representation in a Complex Area of Law

With our history of registering and representing broker-dealer firms and registered representatives, Shustak Reynolds & Partners, P.C., understands the nature and the complexity of the securities and financial industry. We understand that when there is a dispute between a firm and a registered representative, or there has been an accusation of fraud, breach of fiduciary duty, churning or other misconduct, the stress can be overwhelming.

We also know that just looking for a skilled broker-dealer misconduct lawyer or stockbroker regulatory lawyer can be difficult. That is why we strive to make life and the legal process as easy as possible by providing consistent, quality advice and representation. We understand the financial and securities industry inside and out.

Contact a San Diego, San Francisco and New York City Broker Fraud Attorney

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