California FINRA Enforcement Attorney
Allegations of stockbroker trade practice violations can be handled in variety of ways, depending on who is doing the investigation and who is making the allegations.
Actions of a disciplinary nature are pursued through the Financial Industry Regulatory Authority (FINRA), formerly known as the National Association of Securities Dealers (NASD). Although FINRA actions do not concern criminal charges, the penalties for any violations can be extremely significant to any FINRA-licensed professionals who are being investigated.
FINRA disciplinary penalties can result in no less than a $5,000 fine or 10-day suspension or at most lifetime suspension from brokerage work.
I am Jonathan Schwartz, a veteran securities attorney working in Marina del Rey, California. Since 1972, I have tried or arbitrated civil securities cases as an independent attorney. In my years in the practice of securities law, I have served as a trial attorney for the U.S. Securities and Exchange Commission (SEC), an attorney advisor for the U.S. Federal Trade Commission (FTC) and a compliance attorney for the Office of Foreign Direct Investment — U.S. Department of Commerce (OFDI).
I understand the securities-related issues stockbrokers, brokerages and their customers face, and I have the experience and knowledge to resolve favorably my clients' situations, whether they pertain to Southern California or elsewhere in the United States or abroad.
As one of a very few independent Southern California lawyers with direct SEC experience who practices in this area of law, I am not beholden to the goals of a big law firm, organization or agency. If you retain me, I will work only for your interests.
For more information about my services, contact me online at The Law Office of Jonathan Schwartz or by calling 310-526-8704 or 866-920-6566 toll free.
Los Angeles FINRA Disciplinary Actions Attorney
Many of the issues that are decided through FINRA disciplinary actions are also handled through SEC and U.S. Commodity Futures Trading Commission (CFTC) processes. When investors have complaints about broker or brokerage misconduct, they may be brought to any of these agencies. Likewise, SEC or CFTC may bring civil or administrative actions against brokers or brokerages through their own investigations.
FINRA arbitration claims are adjudicated by a panel of three arbitrators — one of them is usually a broker or securities industry professional. Other panel members tend to be professionals such as CPAs or attorneys.
FINRA cases can result in fines and suspensions; therefore, it is important to get the right advice from a seasoned securities lawyer.
Seasoned FINRA Representation for Forms U-4 and U-5 Issues | Free Consultation
Whether you are an investor seeking compensation for alleged broker misconduct, a broker in dispute with a brokerage over a Form U-4 or U-5, or are involved in some other securities action, I have the experience and knowledge to represent you effectively.
For a free initial consultation, call me today at The Law Office of Jonathan Schwartz at 310-526-8704 or 866-920-6566 toll free. You may also reach me online.
Spanish translation is available. Servicios de traducciones disponibles.
