Los Angeles Broker-Customer Dispute Attorney

Some attorneys will only represent customers; some limit their practice to defense of the brokers or advisors. Yet any competent securities attorney should be able to represent either side. For many years, I have represented both brokers and customers. This experience, plus my activities as an arbitrator for FINRA and for the National Futures Association, has given me a perspective on broker-customer disputes that is very broad. I am often able to foresee how claims may fare in actual arbitration settings, as well as the settlement value of a given claim.

I am Jonathan Schwartz, a veteran Los Angeles broker-customer dispute attorney working in Marina del Rey, California. In my more than 30 years as an independent securities attorney, I have successfully tried or arbitrated many broker-customer disputes. 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 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.

This experience has provided me with considerable insight into securities law and practice. For more information, call me at The Law Office of Jonathan Schwartz at 310-496-5770.

A Wide Range Of Cases

Broker-customer disputes can manifest in myriad ways. The following are a few of the case types I have handled through my practice in Southern California, the Los Angeles metropolitan area and nationwide:

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

Investment Fraud Representation | Free Phone Consultation | Attorney Jonathan Schwartz

For a free phone consultation with an experienced securities lawyer, contact me online at The Law Office of Jonathan Schwartz, or call me at 310-496-5770.