REGISTERED INVESTMENT ADVISERS, BROKER-DEALERS, AND REGISTERED PERSONS

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
Broker Transitions: An Overview of Legal and Practical Considerations



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