Shustak Reynolds & Partners, PC

San Diego, CA Securities, Business & Financial Services Litigation Lawyers

Shustak Reynolds & Partners, PC

Main Office
401 West A Street
Suite 2250

San Diego, California 92101

Phone(619) 696-9500 or(888) 748-8748
Fax (619) 615-5290

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Law Firm Overview

Shustak Reynolds & Partners, P.C. is a national practice focused on securities and business law, financial services law, and business and securities litigation and arbitration.
The firm is located in San Diego, California, with additional offices throughout the state, as well as in New York City, and represent clients locally and throughout the country. Practice areas encompass SEC, FINRA and regulatory investigations; brokerage firm and broker misconduct defense; intellectual property disputes; financial and securities fraud; employment and labor law; venture capital litigation; transitioning financial advisers; and corporate and securities transactions.

The legal team has the knowledge to handle the legal complexities involved in the arbitration and litigation of securities management in state and federal courts, as well as the many self-regulatory organizations across the country.

Shustak Reynolds & Partners, P.C. has served a variety of insurance companies, banks, brokerage firms, and domestic and foreign entrepreneurs with integrity and skill.

Languages: English

Areas of Law

Additional Areas of Law: Securities Litigation & Arbitration; Securities Fraud; Financial Fraud; Complex Securities Litigation; Securities & Business Arbitration; Complex Business Litigation & Arbitration; Corporate and Securities Transactions; Transitioning Financial Advisers; Brokerage Firm Defense; Broker Misconduct; Hedge Fund Fraud/Ponzi Schemes; SEC, FINRA & Regulatory Investigations; Venture Capital Litigation; Breach of Contract; Partnership and Corporate Shareholder Disputes; Counterfeiting; Investment Fraud; Breach of Fiduciary Duty; Raiding Claims; Misrepresentation of Information; Churning; U.S. Securities and Exchange Commission (SEC) Charges; Business Fraud; Money Fraud; Bank Fraud and False Statements; Stockbroker Fraud; Real Estate Fraud; Mortgage Fraud; Broker Misconduct; Deed of Trust Fraud.

Areas of Law Description

- Securities Fraud

Handling cases involving unsuitable investments, selling away, unauthorized trading, "churning," sale of unsuitable securities, fraud and related matters.

- Financial Fraud

Aiding clients in cases involving churning annuities, phony loans, mortgage fraud, sale of unsuitable securities, elder financial abuse, "Ponzi" schemes, scams, embezzlement and more.

- Complex Securities Litigation

Representing clients in cases involving failure to perform due diligence, breach of fiduciary duty, fraud, securities class action cases, sale of unsuitable securities and more.

- Securities & Business Arbitration

Handling arbitration and mediation, for a wide variety of business and commercial disputes before every tribunal in the U.S. and overseas.

- Complex Business Litigation

Handling disputes involving breach of contract, unfair competition, stock options, partnerships, "business divorces," shareholder derivative suits, unfair competition and countless other issues.

- Corporate and Securities Transactions

Counseling domestic and foreign companies, investors, hedge funds, registered investment advisers, credit issuers and others.

- Transitioning

Assisting brokers, investment advisers and financial planners in transitions between brokerage firms, registered investment advisory firms; counseling and arbitrating forgivable note disputes; helping clients navigate around restrictive covenants, the Broker Protocol and more.

- Brokerage Firm Defense

Defending firms and registered representatives in disputes with dissatisfied brokers, brokerage firms, clients and others.

- Broker Misconduct

Defending brokers, financial planners and registered investment advisers against accusations of misconduct by their clients.

- Hedge Fund Fraud/Ponzi Schemes

Representing the victims of every kind of financial and securities fraud.

- Intellectual Property

Advocating for clients in cases involving trademarks, copyright infringement, patent law, theft of trade secrets, unfair competition and other matters.

- Trusts, Estate and Tax Planning

Guiding clients through trust and estate planning, asset protection planning, probate, wills, revocable living trusts, credit shelter trusts (CST) and numerous other tax and estate-related matters.

- Employment and Labor Law

Handling wrongful discharge litigation, preventive counseling, collective bargaining and more.


George Miller Mr. George C. Miller
Arbitration, Business Litigation, Civil Litigation, Corporate Litigation, Litigation

Paul Reynolds Mr. Paul A. Reynolds
Arbitration, Business Litigation, Class Actions, Litigation, Securities

Erwin Shustak Mr. Erwin J. Shustak
Arbitration, Business Law, Employees Rights, Intellectual Property, Litigation

Dennis Stubblefield Mr. Dennis A. Stubblefield
Arbitration, Securities

Jonah Toleno Ms. Jonah A. Toleno
Business Law, Commercial Litigation, Corporate Litigation, Litigation, Securities

Of Counsel

Stuart Kagen Mr. Stuart Kagen
Of Counsel
Business Litigation, Employment, Litigation, Property Law, Securities


Katherine Bowles Ms. Katherine S. Bowles
Arbitration, Litigation

Jessica Mackaness Ms. Jessica L. Mackaness
Arbitration, Business Litigation, Litigation, Securities


  • California State Bar Association
  • American Association for Justice
  • San Diego County Bar Association
  • Association of Business Trial Lawyers of San Diego

More Information on Shustak Reynolds & Partners, PC

Financial Fraud
Securities Fraud
Partnership & Shareholder Disputes
Employment & Labor
Complex Securities Litigation
Hedge Fund Fraud/Ponzi Schemes
SEC, FINRA & Regulatory Investigations
Shustak Reynolds & Partners, PC Blog
Shustak Reynolds & Partners, PC News and Publications

Articles Published by Shustak Reynolds & Partners, PC

 The U.S. Supreme Court Clarifies the Definition of Insider Trading – A Big Win for Prosecutors

For the first time since 1983 when the Supreme Court issued its decision in Dirks v. SEC, the Supreme Court yesterday clarified what “personal benefit” the tipper of non-public, inside information must receive from the tippee to sustain a conviction against the tippee who trades on that inside information.

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 SEC v. Dawn J. Bennett: From “Financial Myth Busting” To “Busted”

Last fall, the SEC initiated disciplinary proceedings against financial advisor and self-proclaimed “Financial Myth Buster” Dawn Bennett, accusing her of publicly inflating her client assets under management (or “AUM”) and exaggerating her investment returns.

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 SEC Halts Ash Narayan from Defrauding RGT Clients

The Securities and Exchange Commission (“SEC”) announced that it obtained a court ordered “freeze” of the assets of three individuals, including Ash Narayan, formerly of RGT Wealth Advisors, who, the SEC alleges, siphoned millions of dollars from the accounts he managed at RGT for professional athletes and others while he was the manager of RGT Wealth Advisor’s Orange County, California office.

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 The Defend Trade Secrets Act: A Powerful New Tool For Business Owners

President Obama recently signed into law the Defend Trade Secrets Act (“DTSA”) of 2016, which gives holders of trade secrets a new and powerful option to bring trade secret lawsuits under federal law.

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 FINRA Submits Proposed Rule Changes to Clarify Offsetting Awards

FINRA has recently filed proposed rule changes that provide much-needed clarification to how arbitration awards resulting in both sides paying money should be handled.

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 Non-Traded REITs: Great for Brokers, Not for Clients

FINRA, the Financial Industry Regulatory Authority, filed a complaint against VFG Securities, Inc., a small broker-dealer that allegedly generated almost 95% of its annual revenue from selling non-publicly traded REITs and other illiquid investments to its clients.

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 Transitioning Broker Alert - FINRA Adopts New Comp Disclosure Rule

The Securities and Exchange Commission approved last week a new rule proposed by FINRA, the Financial Industry Regulatory Authority, which requires brokers departing one broker dealer for another, to send “educational information” to clients about their move to another firm and the financial compensation and incentives they will receive from the new firm for making the move.

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 SEC Fiduciary Rule Proposal to Potentially Differ from DOL’s

Calling all financial advisors – time to grab your compasses and brush up on your map-reading skills. As if the path to confirmation of the Department of Labor (DOL) fiduciary rule were not controversy-ridden enough, according to Investment News, SEC Chairwoman Mary Jo White announced this week the SEC may propose its own rule that “may not mesh perfectly” with the DOL’s.

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 Ash Narayan and RGT Capital Management, Ltd. - Shustak Reynolds & Partners is Investigating Claims

RGT Wealth Advisors, a division of RGT Capital Management, Ltd., with offices in Irvine, California and Texas, terminated Ash Narayan, one of its advisors working out of the Irvine, California office February 17, 2016.

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 FINRA Investigations Under Rule 8210

It is every registered person’s nightmare. You receive a letter from a FINRA office notifying you that you are the subject of a FINRA investigation.

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 Morgan Stanley Pays $2.6 Billion Penalty

The U.S. Justice Department announced last week that Morgan Stanley will pay a $2.6 billion penalty to resolve claims...

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