California Stockbroker Dispute Attorney
When stockbrokers are the subjects of lawsuits or arbitration by investors for financial misconduct or fraud, brokerages are not always willing or able to back them up.
Instead of benefiting from the services of their employers' legal counsel, individual stockbrokers are often left to defend themselves.
I am Jonathan Schwartz, a veteran securities attorney working in Marina del Rey, California. For more than 30 years, I have worked as an independent securities attorney representing both investors and stockbrokers in lawsuits or arbitration in which monetary compensation is sought.
For more information about my practice, call me at The Law Office of Jonathan Schwartz at 310-526-8704 or 866-920-6566 toll free.
Los Angeles Stockbroker Defense Attorney
During my extensive career, I have worked 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 am one of the few SEC alumni in Southern California who is not a member of a medium- or large-sized law firm, I work only for my clients. This independence enables me to represent every one of my clients without any conflict of interest.
If you are a stockbroker under investigation by the Securities and Exchange Commission (SEC) or the U.S. Commodity Futures Trading Commission (CFTC) or state regulators, I can use my experience, knowledge and connections to the securities industry to thoroughly understand your case and your circumstances.
Likewise, I can represent you if you have been referred to the Financial Industry Regulatory Authority (FINRA) for disciplinary action that could threaten your license to do business.
Defense of Alleged Stockbroker Fraud | Free Consultation | Attorney Jonathan Schwartz
After a free initial discussion, I can evaluate the merits of your case and determine a strategy designed to limit, or eliminate, any financial or other penalties you might face as result of your professional activities. As your lawyer, I can work to disprove any allegations against you and to negotiate with authorities when appropriate and beneficial to your case.
For a free consultation, contact me online at The Law Office of Jonathan Schwartz or call me at 310-526-8704 or 866-920-6566 toll free.
Spanish translation is available. Servicios de traducciones disponibles.
