Our Practice Areas

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
Estate, Trust, and Probate disputes and litigation

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
Enforcement Proceedings, Cease and Refrain Orders, and investigations by the California Department of Financial Protection and Innovation (DFPI)

For over 40 years, 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

Shustak Reynolds & Partners, P.C. 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

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

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