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Los Angeles SEC And CFTC Enforcement Lawyer

Investigations by the U.S. Securities and Exchange Commission (SEC) or the U.S. Commodity Futures Trading Commission (CFTC) are serious matters in that they can and often do lead to civil (and sometimes criminal) actions in U.S. District Courts.

SEC Investigations Attorney

While FINRA disciplinary actions might apply to professional conduct and have consequences that apply only within the finance and securities industries, an SEC or CFTC investigation can ultimately have criminal consequences.

I should know. I am Jonathan Schwartz, a veteran Los Angeles securities enforcement attorney. 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 to Commissioner Philip Elman of the U.S. Federal Trade Commission (FTC), and as a compliance attorney for the Office of Foreign Direct Investment (OFDI) — an Office within the U.S. Department of Commerce created by the Executive Order of the President of the United States.

For more information about my services, contact me online or by calling The Law Office of Jonathan Schwartz at 310-526-8704 or 866-920-6566 toll free.

Los Angeles SEC Enforcement Attorney | Serving Southern California And Beyond

As a lawyer, I am particularly adept at providing legal consultation and representation to clients with concerns about securities fraud and securities misconduct matters, including:

  • "Churning" (excessive trading)
  • Insider trading
  • Misrepresentation, omissions and false statements
  • Unsuitable investments
  • Unauthorized trades
  • Breach of fiduciary duty
  • Over-concentration
  • Failure to execute trades
  • Failure to supervise brokers
  • Breach of contract
  • Margin account abuse
  • Registration violations
  • Professional negligence
  • Market manipulation

While at the SEC, I was responsible for investigations and filings of civil injunctive actions against private individuals and companies relating to securities matters. I am one of the few SEC alumni practicing law in Southern California who is not affiliated with a large- or medium-sized law firm.

My experience and knowledge can be of great assistance to you in any SEC or CFTC investigation or civil enforcement action, whether you are a private party, stockbroker, or representative of a brokerage or business entity with interests in securities transactions.

I am also familiar with the techniques FINRA and state securities commissions use in investigations of regulated persons and entities.

Thirty Years Of Securities Law Experience | Free Initial Telephone Consultation

For a free phone consultation with an experienced Southern California SEC enforcement lawyer, contact me online at The Law Office of Jonathan Schwartz or by calling 310-526-8704 or 866-920-6566 toll free.

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