Jonathan Schwartz

Since 1972 when I left the Securities and Exchange Commission, my office has specialized in broker/dealer-customer disputes and regulation of brokers. Approximately 80% of my practice is devoted to these subject areas. I have extensive experience in the analysis of customer account problems, including suitability, churning, unauthorized transactions, as well as less common problems that can arise between a broker and a customer. I have brought a large number of customer claims in court as well as before various arbitration tribunals, principally before the National Association of Securities Dealers. I am well known in my geographical area, both within the securities industry and among members of the securities arbitration bar and securities defense counsel. I am a securities industry arbitrator, and have served on arbitration panels for the American Arbitration Association, the National Association of Securities Dealers, and other arbitration tribunals.

In addition to the above, I am familiar with most areas of broker-dealer regulation, including compliance, and have represented brokerage firms and individual stockbrokers in connection with arbitrations, employment agreements, termination disputes, form U-4 and U-5 problems and related matters, including FINRA (formerly NASD), SEC and State Securities Commission and Insurance Commission investigations.