San Diego, CA Securities, Business & Financial Services Litigation Lawyers
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Law Firm OverviewShustak 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 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.
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.
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.
Mr. George C. Miller
Arbitration, Business Litigation, Civil Litigation, Corporate Litigation, Litigation
Mr. Paul A. Reynolds
Arbitration, Business Litigation, Class Actions, Litigation, Securities
Mr. Erwin J. Shustak
Arbitration, Business Law, Employees Rights, Intellectual Property, Litigation
Mr. Dennis A. Stubblefield
Ms. Jonah A. Toleno
Business Law, Commercial Litigation, Corporate Litigation, Litigation, Securities
Mr. Stuart Kagen
Business Litigation, Employment, Litigation, Property Law, Securities
Ms. Katherine S. Bowles
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, PCFinancial 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
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.Read Article
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.Read Article
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.Read Article
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.Read Article
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.Read Article
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.Read Article
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.Read Article
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.Read Article
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.Read Article
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.Read Article
The U.S. Justice Department announced last week that Morgan Stanley will pay a $2.6 billion penalty to resolve claims...Read Article