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Firm Details
Practice Areas
Securities Litigation & Arbitration, Representation of Broker-Dealers, Registered Persons & Investment Advisers, SEC & FINRA Investigations/Enforcement Actions, Complex Business Disputes, Corporate & Securities Transactions, Registered Investment Adviser Formation and Compliance, Broker-Dealer Formation and Compliance, Registered Person Transition Between Firms, Trade secrets/Noncompete agreements, 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, Estate, Trust, and Probate disputes and litigation
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