Los Angeles Stockbroker Fraud Lawyer

All stockbrokers are obligated to act in their clients' best interests and in the best interests of the brokerages for which they work.

Although the vast majority of stockbrokers observe SEC, FINRA, and other rules and regulations applicable to their activities and perform their jobs with integrity, there are times when a client or a brokerage may bring arbitration claims regarding alleged misconduct or fraud on the part of the broker.

I am Jonathan Schwartz, an independent securities attorney working in Marina del Rey, California. Since 1972, I have tried or arbitrated civil securities cases on behalf of investors and stockbrokers who need informed and effective legal representation in cases of alleged stockbroker misconduct and fraud. I serve clients in Los Angeles and throughout Southern California. I will also accept retainers for out-of-state and international clients.

The following are just a few of the areas relating to investment fraud for which I can assist you:

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

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

I Understand The Financial Industry | Los Angeles Stockbroker Fraud Attorney

As a former trial attorney for the U.S. Securities and Exchange Commission (SEC), an attorney advisor for the U.S. Federal Trade Commission (FTC) and a compliance attorney for the Office of Foreign Direct Investment — U.S. Department of Commerce (OFDI), I understand the intricacies of the financial industry. I also have the experience and skill to put this understanding to good use for my clients.

If you are a broker who is being investigated by the SEC, is being sued in civil court or arbitration, or is subject to a disciplinary action before FINRA, it is in your best interests to hire an attorney who has been part of the system, is known within the system and yet works outside the system for the benefit of clients.

Conversely, if you are an investor who is unable to settle a difference with a broker or brokerage regarding a transaction or series of transactions, I can assist you in pursuing a resolution in civil court or through a FINRA arbitration process.

I am one of very few independent Southern California attorneys who have experience working inside the SEC. I am not beholden to major brokerages, the government or the big law firms that may have interests that conflict with yours. As a result, I can represent your interests only — whether you are a broker seeking to defeat allegations of fraud or other misconduct, or an investor who wishes to pursue compensation.

Free Phone Consultations | Knowledge And Service | The Law Office Of Jonathan Schwartz

I offer free initial phone consultations for my clients. If you are ready to discuss your circumstances with a Southern California securities lawyer who will work only for your interests, contact me online or by calling The Law Office of Jonathan Schwartz at 310-496-5770.