Los Angeles FINRA Enforcement Defense Lawyer
Allegations of trade practice violations can be handled in a variety of ways, depending on who is doing the investigation and who is making the allegations.
Actions of a disciplinary nature are pursued through the Financial Industry Regulatory Authority (FINRA), formerly known as the National Association of Securities Dealers (NASD). Although FINRA actions do not concern criminal charges, the penalties for violations can be extremely significant to any FINRA-licensed professionals who are being investigated.
FINRA disciplinary penalties can include a monetary penalty, a period of suspension or a lifetime bar from the industry.
I am Jonathan Schwartz, a veteran 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 Executive Order of the President of the United States.
I understand the securities-related issues stockbrokers, brokerage firms and their customers face, and I have the experience and knowledge to resolve favorably my clients' situations, whether they pertain to Southern California or elsewhere in the United States or abroad.
As one of a very few independent Southern California lawyers with direct SEC experience who practices in this area of law, I am not beholden to the goals of a big law firm, organization or agency. If you retain me, I will work only for your interests.
For more information about my services, contact me online at The Law Office of Jonathan Schwartz or by calling 310-496-5770.
Many of the issues that are resolved through FINRA disciplinary investigations are sometimes handled through SEC or U.S. Commodity Futures Trading Commission (CFTC) processes, or by state securities enforcement commissions. When investors have complaints about broker or brokerage misconduct, they may be brought to one or another of these agencies. Likewise, SEC or CFTC may bring civil or administrative actions against brokers or brokerage firms as a result of their own investigations.
FINRA customer arbitration claims are usually adjudicated by a panel of three arbitrators — one of them is often a broker or securities industry professional. Other panel members tend to be professionals such as CPAs or attorneys.
Seasoned FINRA Representation For Forms U-4 And U-5 Issues | Free Telephone Consultation
Whether you are an investor seeking compensation for alleged broker misconduct, a broker in dispute with a brokerage firm over a Form U-4 or U-5, or are involved in some other securities dispute, I have the experience and knowledge to represent you effectively.
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.