Los Angeles Stockbroker Defense Lawyer
When stockbrokers are the subjects of lawsuits or arbitration by investors for financial misconduct or fraud, brokerages are not always willing or able to back them up.
Instead of benefiting from the services of their employers' legal counsel, individual stockbrokers are often left to defend themselves.
I am Jonathan Schwartz, a veteran Los Angeles stockbroker defense attorney working in Marina del Rey, California. 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.
For more information about my practice, call me at The Law Office of Jonathan Schwartz at 310-496-5770.
Los Angeles Stockbroker Dispute Attorney
I am one of the few SEC alumni in Southern California who is not a member of a medium- or large-sized law firm, and I work only for my clients. This independence enables me to represent every one of my clients without any conflict of interest.
If you are a stockbroker under investigation by the Securities and Exchange Commission (SEC) or the U.S. Commodity Futures Trading Commission (CFTC) or state securities regulators, I can use my experience, knowledge and connections in the securities industry to thoroughly understand your case and your circumstances.
Likewise, I can represent you if you have been referred to the Financial Industry Regulatory Authority (FINRA) for disciplinary action that could threaten your license to do business.
Defense Of Alleged Stockbroker Fraud | Free Telephone Consultation | Attorney Jonathan Schwartz
After a free initial discussion, I can evaluate the merits of your case and determine a strategy designed to limit, or eliminate, any financial or other penalties you might face as result of your professional activities. As your lawyer, I can work to disprove any allegations against you and to negotiate with authorities when appropriate and beneficial to your case.
For a free initial phone consultation, contact me online at The Law Office of Jonathan Schwartz or call me at 310-496-5770.