California SEC Investigations Attorney
Investigations by the U.S. Securities and Exchange Commission (SEC) or the U.S. Commodity Futures Trading Commission (CFTC) are serious matters. These federal agencies leave no stone unturned when investigating and enforcing requirements relating to broker/dealer compliance, fraud, insider trading and other potential violations of federal law.
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 have criminal consequences.
I should know. I am Jonathan Schwartz, a veteran securities attorney working in Marina del Rey, California. Since 1972, I have successfully 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).
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
While at the SEC, I was responsible for investigations and filings of injunctive actions against private individuals and companies on securities matters. I am one of the few SEC alumni 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 action, whether you are a private party, stockbroker, or representative of a brokerage or business with interests in securities trading.
I am also familiar with the techniques FINRA and state insurance commissioners use in investigations of regulated persons and entities.
Thirty Years of Securities Law Experience | Free Consultation
For a free 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.
Spanish translation is available. Servicios de traducciones disponibles.
