FINRA Enforcement Lawyer

Whether you are an investor who needs to settle a dispute concerning a securities transaction or a broker who needs to defend against allegations of misconduct or fraud, The Law Office of Jonathan Schwartz can provide solid representation that is backed by 30 years of securities industry experience and a fully independent spirit.

For more information about my legal services, contact me online at The Law Office of Jonathan Schwartz or by calling 310-496-5770.

Los Angeles FINRA And SEC Enforcement Attorney

The following are just some of the practice areas in which I represent my clients in Southern California and beyond:

  • FINRA disciplinary activity: I represent stockbrokers in Financial Industry Regulatory Authority (FINRA) disciplinary matters. If you are a licensed broker who is facing allegations of negligence, misconduct or fraud in a FINRA investigation, I work to preserve your license, your reputation and your career.
  • FINRA arbitration: I represent investors and stockbrokers in reaching arbitrated and mediated resolutions through the FINRA dispute resolution process. For many years, I have acted as an arbitrator for FINRA and the National Futures Association. I have a deep understanding of the workings of these processes, and I can help any clients prepare for an arbitration or mediation.
  • SEC and CFTC civil enforcement: While FINRA disciplinary actions might apply to professional conduct and have consequences that apply only within the finance and securities industries, U.S. Securities and Exchange Commission (SEC) or U.S. Commodity Futures Trading Commission (CFTC) investigations can have criminal consequences. I represent the interests of investors and stockbrokers in situations involving both SEC and CFTC civil enforcement matters.
  • Clawbacks: When Ponzi schemes fall apart, investors may seek post-Ponzi compensation from those who organized the scheme or other investors who reaped financial payments. I represent investors who seek to receive such "clawback" compensation as well as those "early Ponzi winners" who seek to avoid paying such claims.
  • Insider trading: I represent investors and stockbrokers in cases involving claims of insider trading and other allegations of securities violations.
  • Broker misconduct: I represent investors and brokers regarding claims of misconduct or fraud.
  • Broker claims against brokerages: I represent brokers and other financial professionals in claims against brokerages.
  • Legal problems facing stockbrokers: Instead of benefiting from the services of their employers' legal counsel, individual brokers are often left to defend themselves when complaints arise. I provide competent representation for brokers who face allegations of misconduct or fraud.
  • Recent securities issues: As the financial terrain changes, so must the knowledge and techniques of the lawyers who represent investors, brokers and financial professionals. I am familiar with the legal ramifications of a host of recent securities issues, including collateralized debt obligations, structured products, auction rate funds, private placements and Ponzi schemes, including "clawback" litigation.

Los Angeles Securities Law | Attorney Jonathan Schwartz | 310-496-5770

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