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