Securities Law Attorney

Highly Experienced, Fully Independent | Los Angeles Securities Lawyer Jonathan Schwartz

In the sphere of securities law representation, there are few attorneys who maintain solo practices and who are unencumbered by obligations to the powers behind the securities industry.

Even less common in the Los Angeles area are independent securities attorneys who have intimate experience with the machinery of securities regulation and legal process, yet have chosen to ally with the investors and stockbrokers who are often on the losing end of securities disputes.

I am Jonathan Schwartz, a veteran Los Angeles securities enforcement attorney. I have extensive experience with matters involving the Financial Industry Regulatory Authority (FINRA), the Securities And Exchange Commission (SEC), and various state securities regulators such as the California Department of Business Oversight (DBO). 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 Executive Order of the President of the United States.

I understand the securities-related issues stockbrokers, broker-dealers and their customers face, and I have the experience and knowledge to resolve favorably my clients' situations, whether they are located in Southern California or elsewhere in the United States.

For more information about my practice, call me at The Law Office of Jonathan Schwartz at 310-496-5770.

My Practice | Los Angeles Securities Law Attorney

My broad practice includes representation of clients, including:

  • Investors who believe they have been wronged — through negligence, misconduct or fraud — by an individual broker or broker-dealer and are seeking compensation through arbitration before the Financial Industry Regulatory Authority (FINRA)
  • Licensed stockbrokers who are defending against inquiries by regulatory and oversight enforcement organizations, including FINRA, the U.S. Securities and Exchange Commission (SEC) or the U.S. Commodity Futures Trading Commission (CFTC)
  • Licensed stockbrokers who are involved in disputes with broker-dealers regarding "forgivable employee loans" or are dealing with Form U-4 or U-5 issues

For more information about my legal philosophy and experience, please read my attorney profile page.

Los Angeles Broker Misconduct Defense | Free Telephone Consultation

For a free initial phone consultation, call me today at The Law Office of Jonathan Schwartz at 310-496-5770. You may also reach me online.