The Law Office of Jonathan Schwartz

Law Firm Overview

From 1967 to 1968, I was an Attorney Advisor for the Office of Commissioner Phillip Elman, United States Federal Trade Commission in Washington, D.C.

As a legal advisor to Commissioner Elman, I reviewed staff proposals submitted to the Commissioners of the Federal Trade Commission for determination. I interviewed staff members, reviewed staff memoranda and prepared summaries and recommendations, for Commissioner Elman.

From 1968 to 1970, I was a Trial Attorney for the Office of Foreign Direct Investment, United States Department of Commerce, Washington, D.C.

I assisted in the creation of the Compliance Division of the Office of Foreign Direct Investment, an agency within the Department of Commerce created by Executive Order of the President of the United States. I drafted and reviewed compliance regulations for publication in the Federal Register and later enforcement by the Compliance Division. I conducted compliance audits; worked with financial officers of U.S. multi-national corporations to achieve compliance with program goals, chiefly concerning the restructuring of financing of off-shore operations of U.S. multi-national corporations to favorably effect the United States International Balance of Payments.

From 1970 to 1972, I was a Trial Attorney for the United State Securities and Exchange Commission, Los Angeles Regional Office.

I was in charge of investigations and the filing of civil injunctive actions against persons and business entities suspected of violating laws administered by the Securities and Exchange Commission. I conducted compliance audits and investigations of broker-dealerships and public companies. The job involved extensive exposure to the operations of locally based, publicly traced corporations and broker-dealerships in the Los Angeles area.

Since 1972, I have been in civil practice in Los Angeles, California with areas of emphasis in securities, securities registration, broker-dealer/customer disputes, securities industry disputes and defense of enforcement activities by the Securities and Exchange Commission, The California Commissioner of Corporations, the NASD, and other self-regulatory organizations within the securities industry. I also do general civil litigation, with an emphasis on business disputes.

Areas of Practice

• Securities Law 100%

West Practice Categories

Securities Law