Shustak Reynolds & Partners, P.C. is a premier law firm specializing in securities law, financial services regulation, and complex business litigation. With over 40 years of experience, the firm stands out for its award-winning representation of clients in high-stakes disputes and regulatory matters across the United States.
The firm’s attorneys are highly experienced in state and federal securities and business laws, offering a comprehensive, integrated approach that addresses shareholder relations, risk management, and intellectual property protection. Their clientele includes broker-dealers, investment advisers, hedge and private equity funds, registered persons, investors, and a wide variety of public and private businesses in industries such as technology, manufacturing, financial services, and entertainment.
Services Offered
- Securities Litigation & Arbitration
- FINRA Arbitration Representation
- SEC & FINRA Investigations/Enforcement Actions
- Complex Business Disputes
- Corporate & Securities Transactions
- Securities and Financial Fraud Cases
- Partnership and Corporate Governance Disputes
- Intellectual Property Disputes (Copyright and Trademark)
- Breach of Contract Litigation
- Bankruptcy Litigation and Business Reorganizations
- Minority Partner/Shareholder Disputes
- Unfair Competition and Trade Secrets Claims
- Real Estate Disputes and Fraud
- Class Action Defense
- U4, U5, CRD, and Defamation Disputes
- Employment Disputes (Unlawful Termination, Discrimination, Stock Options)
- Broker-Dealer and Investment Adviser Compliance/Risk Management
- Internal Investigations and Mock Examinations
- Mergers and Acquisitions
- Corporate/LLC Formation, Operation
- Private Securities Offerings and Crowdfunding
- Licensing Agreements
- 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
- Registered Investment Adviser Formation and Compliance
- Broker-Dealer Formation and Compliance
- Registered Person Transition Counseling
- Trade Secrets/Noncompete Agreements
- Broker Protocol Issues
- Form U4 and Form U5 Matters
- Compliance Manual and Policy Development
- Risk Assessments
- Employee, Independent Contractor, and Vendor Contracts
- Unfair Competition and Confidentiality Disputes
- Labor Law Counseling
- Drafting Employee Manuals and Policies
- Wage and Hour Issues Counseling
- Workforce Reductions
- Private Fund Organization and Formation
- Drafting Private Placement Memoranda and Offering Documents
- Fundraising Issues
- Regulation D Matters and Form D Filings
- Analysis of Securities Act, Investment Company Act, and Investment Advisers Act
The firm handles matters nationwide, with offices in San Diego, Irvine, Los Angeles, San Francisco, and New York, serving clients across various sectors including high tech, construction, banking, biotech, and food distribution.
