Since 2001, Todd has been assisting investment advisors to build their businesses without fear of regulatory repercussions. He does not believe in scare tactics. Instead he eases clients' concerns by demystifying compliance mandates. Schwartz Law Group was established based on the above values. Our practice focuses entirely on investment advisory compliance and legal matters.
Todd has extensive experience advocating for clients during SEC examinations and state audits. He has represented clients in numerous FINRA arbitration cases and assisted investment professionals expunge unfair disclosures on their U4 Forms. He has served as an expert witness on the Investment Advisers Act of 1940.
Todd has extensive experience advocating for clients during SEC examinations and state audits. He has represented clients in numerous FINRA arbitration cases and assisted investment professionals expunge unfair disclosures on their U4 Forms. He has served as an expert witness on the Investment Advisers Act of 1940.
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