Law Firm Overview

SHUSTAK & PARTNERS is a specialty law firm with a national practice focused in the areas of securities, corporate finance and business law. The firm operates from offices in New York, California and Geneva, Switzerland and is comprised of experienced, sophisticated attorneys who have earned a solid reputation as strategic problem solvers, ardent negotiators and successful deal makers. As a "boutique" law firm, SHUSTAK & PARTNERS is unique in its ability to handle the most complex legal matters, while providing its clients with a close, personal service -- not often available at larger, less intimate firms.

The Firm represents a select clientele that includes domestic and foreign publicly-traded corporations; brokerage firms; banks; insurance companies; hedge and mutual funds and entrepreneurs. The firm routinely handles cases that range from arbitrations, trials and appeals in State and Federal Courts and securities self-regulatory organizations throughout the country to municipal bond financings, broker/dealer registrations and public and private securities offerings.

The success of SHUSTAK & PARTNERS is built on the strong capabilities of our attorneys. Well-versed in complex business transactions, financings and litigations, the Firm's attorneys regularly handle a wide variety of business and personal legal matters with the highest level of competence. We are seasoned strategists who can navigate our way around the negotiating table as well as the courtroom.

Drawing on our collective experience, including the years the Firm's partners spent at major Wall Street law firms, SHUSTAK & PARTNERS is committed to simplifying the legal process and achieving efficient and effective results for our clients.

We treat our clients' matters as if they were our own, exercising the highest degree of judgment, integrity and discretion. The Firm's partners are "hands-on" and are directly in charge of each case or matter. The clients' interests are paramount and each client is regularly consulted at every stage of the legal process -- from beginning through completion. We exist solely to serve our clients and obtain the necessary results.

T he Firm's practice is focused in securities, corporate finance and business law. In fact, many major law firms turn to us for our advice and guidance in these specific areas.

• Securities, Corporate Finance, Compliance matters and state securities or "Blue Sky" laws.
• Corporate Formations and Organizations.
• Public and Private Capital Formation including Regulation D, Rule 144A, Regulation "A", registered offerings (S-1,S-2,S-3) and Rule 144 sales.
• Limited Partnerships, Venture Capital, Hedge Funds and other financings.
• Federal Securities Regulations and SEC Compliance.
• Broker Dealer, Investment Advisor and Representative Registered with the SEC, NASD, CRD, NFA, CFTC and all state registrations.
• Mergers and Acquisitions.
• Proxy Solicitations.
• Investment Company Capital Formations and Compliance.
• Initial Public Offerings and Secondary Transactions.
• Credit Enhancement and Asset-backed Securitization.

• New York Stock Exchange, American Stock Exchange and NASD arbitrations, disciplinary hearing and investigations throughout the country.
• Securities Fraud.
• Breach of Contract.
• Employment Discrimination and Employment Disputes.
• Unfair Competition and Trade Secrets.
• Corporate and General Commercial Disputes.
• Bankruptcy, Foreclosures and "Work-Outs".
• Real Estate and Construction Disputes.

• Offshore Corporate Formation and Financing.
• Compliance with all U.S. Securities Laws.
• Mergers, Acquisitions and Cross Border Joint Venture Agreements.

T he Firm regularly handles complex legal matters for an impressive clientele, both domestic and international.

• Represented several of the largest reinsurance companies in the world in connection with credit enhancements of over $200,000,000 of Industrial Development bonds throughout the country.
• Converted an open-end, publicly traded mutual fund to closed-end status; the first transaction of its kind in more than 20 years.
• Formed one of the first publicly traded, "ethically correct" mutual funds.
• Restructured over $400,000,000 of asset-based debt in a variety of industries for a number of clients.
• Instrumental in bringing over $150,000,000 of public and private offerings to the marketplace over the past five years.
• Handled several hundred litigations and arbitrations throughout the country.
• Co-counsel for plaintiffs in the NASDQ Market-Makers anti-trust litigation which resulted in one of the largest class action settlements to date (over $900 Million).
• Formed, organized and counsel over 100 NASD member brokerage firms.
• Counseled several U.S. public companies acquired by multinational, off-shore purchasers.
• Formed and advise both regulated and unregulated investment advisors, investment partnerships and hedge funds with total capitalization in excess of $1 billion.

Areas of Practice

• Business & Commercial Law
• Intellectual Property Law
• Litigation & Appeals
• Securities Law
• Trademarks

Representative Cases

• Chiavarelli v. Williams, Lexis 13249 (N.Y. App. Div. 1998)
• Merritt v. United States of America, et al, 960 F.2d at 15 (2nd Circuit 1992)
• University Mews Associates v. Jean Marie, et al, 471 N.Y.S.2d 457, 122 Misc.2d 434 (New York county 1983)
• Estate of Aronoff, 653 N.Y.S.2d 844, 171 Misc.2d 172 (New York County 1997)
• Podsiadlo v. Deutsche Morgan Grenfell, Inc., et al (Arbitration) , (American Stock Exchange 1998)
• Financial Northeastern Securities, Inc. v. Steel, et al. (Arbitration) , (National Association of Securities Dealers 1997)
• Fisher v. Shearson Lehman Hutton (Arbitration) , (American Stock Exchange 1992)

West Practice Categories

Business & Commercial Law, Intellectual Property Law, Trademarks, Litigation & Appeals, Securities Law