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Shustak & Partners PC

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Shustak & Partners PC is an AV-rated law firm with offices in downtown San Diego, Irvine, San Francisco and New York. We are known for our extensive experience in securities and business litigation and arbitration. We represent broker-dealers, registered investment advisers, brokers, publicly traded companies, local businesses and high-net-worth individuals in a wide variety of securities and financial disputes, including securities and financial fraud claims, breach of contract claims and complex employment disputes.

We also have extensive experience handling intellectual property, trademark and copyright disputes. Our attorneys have appeared in state and federal courts throughout the United States and before the American Arbitration Association, FINRA (formerly the National Association of Securities Dealers), the National Futures Association, JAMS, the International Chamber of Commerce and other forums throughout the country and around the world.

Our firm is also well-versed in regulatory and compliance matters. Our Securities Practice Group has more than 37 years of experience representing broker-dealers, investment advisers, registered persons and others in defense of SEC and FINRA examinations, investigations and enforcement matters, in various compliance and risk management projects, and with internal investigations.

In this practice area, three overarching factors and trends drive strategy for the majority of matters: (1) the close relationship between civil claims and regulatory investigations; (2) the increasing cooperation amongst the securities regulators and criminal authorities, particularly the U.S. Attorneys’ office; and (3) the increasing scrutiny of securities regulators on the systems and processes of regulated entities. Thus, compliance and risk management, on the one hand, and regulatory/enforcement defense, on the other, are inextricably linked, now more than ever. Our securities practice group is well-versed in both areas.

In addition, our attorneys have decades of experience representing registered representatives, associated persons, investment advisers and financial planners in employment disputes, broker-protocol, non-compete and trade secret disputes, U4/U5 disclosure and expungement matters and other securities industry matters. We recognize that one of the most challenging aspects of a registered representative’s career is moving from one broker-dealer firm to another. To that end, our attorneys have significant experience in recruitment disputes and in counseling transitioning brokers in forgivable loan or “golden handcuff” matters.

Although we are proud of our aggressive approach to litigation and ability to handle large complex cases, our clients appreciate our firm’s friendly “boutique” atmosphere. We strive to make your problems our problems and give them our utmost attention. Our corporate lawyers, business lawyers and securities arbitration lawyers are here to serve you to the best of our ability, striving to go above and beyond your expectations. Our offices in San Diego, Irvine, San Francisco and New York City allow our attorneys to handle cases all over the country.

Learn more about our firm by visiting our website, shufirm.com, or call us toll-free at (888) 748-8748 or locally at (619) 696-9500.

-Submitted by Shustak & Partners PC

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