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Jonathan Schwartz

Jonathan Schwartz

Marina Del Rey, California

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.

Areas of Practice

  • 100% Securities Law

Litigation Percentage

  • 50% of Practice Devoted to Litigation

Bar Admissions

  • District of Columbia, 1968
  • California, 1971
  • U.S. District Court of the District of Columbia, 1968
  • U.S. District Court Central District of California, 1972
  • U.S. Court of Appeals District of Columbia Circuit, 1969
  • U.S. Court of Federal Claims, 1973


  • University of Pennsylvania Law School, Philadelphia, Pennsylvania
    • Juris Doctor - 1967
    • Honors: Student Moot Court Board
  • Bard College, Annandale on Hudson, New York
    • Bachelor of Arts - 1964
    • Honors: Dean's List
    • Major: English Literature

Professional Associations and Memberships

  • American Arbitration Association, Member, Panel of Arbitrators
  • NASD Regulation, Inc., Member, Board of Arbitrators
  • Los Angeles Mission College Paralegal Studies Program, Member, Advisory Board
  • National Society of Compliance Professionals, Member
  • National Futures Association, Member, Board of Arbitrators

Past Employment Positions

  • United States Federal Trade Commission, Washington, D.C. Office of Commissioner Philip Elman, Attorney Advisor, 1967 - 1968
  • United States Department of Commerce, Washington, D.C. Office of Foreign Direct Investment, Compliance Attorney, 1968 - 1970
  • United States Securities and Exchange Commission, Los Angeles, California, Trial Attorney, 1970 - 1972
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