Customer-Broker Disputes
California Stock Broker Fraud Lawyer ▪ Los Angeles Broker Dealer Compliance Attorney ▪ Due Diligence Lawsuit ▪ FINRA Dispute
Broker Fraud?
Most investors rely on their brokers to deal with them honestly and openly. The law protects them because securities dealers are contractually bound by their duty as fiduciaries. Jonathan Schwartz can identify behavior that deviates from the standards of due diligence and fiduciary care that investors are entitled to expect. He has substantial experience in the types of problems that arise between brokers and their customers. Traders in securities must comply with strict rules regarding the investment advice and investment compliance. However, even when the rules are followed, there is still risk involved for their customers.
Jonathan Schwartz can address situations involving improper practices by brokers and dealers, including churning, unauthorized trading, undue concentration, theft or misappropriation, misrepresentation, and more. Large losses and non-responsive brokers may be indicators that your investments are not being handled with the proper care.
Brokerage compliance
Jonathan Schwartz, can provide experienced advice on broker/dealer regulation issues, including compliance. He has successfully represented brokerage firms and individual stockbrokers in conjunction with employment, termination, U-4, and U-5 related matters. Mr. Schwartz has handled many types of problems in the securities field, including customer reparations proceedings before the Commodity Futures Trading Commission (CFTC) and Public Enforcement Actions brought by the Commodity Futures Trading Commission. As a former SEC trial lawyer with over 30 years of experience, attorney Schwartz deals with a wide variety of customer account problems.
Contact attorney Jonathan Schwartz for a consultation concerning securities regulation and Customer / Broker Disputes.
The Law Offices of Jonathan Schwartz
Los Angeles Broker Dealer Compliance Attorney
California Stock Broker Fraud Lawyer
4640 Admiralty Way
Suite 500
Marina del Rey, CA 90292
Phone: (310) 496-5770
Fax: (310) 496-5771
California stock broker fraud lawyer Jonathan Schwartz provides stock broker fraud, broker dealer compliance, due diligence lawsuit, and FINRA dispute legal services to residents of Marina del Rey, Los Angeles, Santa Monica, the greater San Diego Area, Orange County, Newport Beach, Century City, Beverly Hills, Ventura, Laguna Beach, and San Bernardino, California. In addition to local clients, Mr. Schwartz represents clients all across the United States in securities law matters.
