A FINRA Broker Dealer Law Firm
About The Law Offices of Christopher H. Tovar, PLLC & Securities Practice Group
The Law Offices of Christopher H. Tovar, PLLC provide a full range of services to meet the legal, compliance, and business needs of registered investment advisors (RIAs), FINRA-member broker-dealers (BDs), and associated persons (brokers and registered representatives). We help you operate more successfully in a challenging regulatory and legal environment so you can do business safely and more successfully. We help you protect your reputation and livelihood as you serve your clients and grow your book of business.
We Offer the Following:
Formation and Registration
- Form ADV and Brochure
- Registration and Regulatory Filings
- ERISA and Fiduciary Responsibilities
- Transitioning a Book of Business
- Service Provider Contracts
Compliance and Supervision
- Client Agreements
- Compliance Policy and Code of Ethics
- Privacy Policies
- Social Media Use and Restrictions
- DOL Fiduciary Requirements and Exemptions
- Annual Audits and Mock Audits
- SEC and FINRA Regulatory Examinations and Inquiries
- Disciplinary Proceedings
- Annual Filings
Employment Matters and Employee Benefits
- Employment and Independent Contractor Agreements
- Employee Handbooks and HR Policies
- Non-Solicit/Non-Compete Agreements
- Employment Transition Strategies
- Moving Your Book of Business
- TROs and Injunctions
Litigation
- FINRA and AAA Arbitration
- Customer Complaints and Disputes
- Promissory Note and Contract Disputes
- Intra-industry Litigation
- Corporate Raiding Claims
- Settlement Negotiations
Attorneys
Christopher H. Tovar worked as a broker with two national broker-dealers before becoming an attorney focusing on FINRA arbitration, securities litigation in the courts, and regulatory matters. He got his start representing investors in cases involving brokerage negligence and fraud issues, from unsuitability to churning, failure to supervise, selling away, and conversion before he switched in 2007 to defending brokers and firms in against such claims.
Chris also represents brokers who have been wrongfully terminated or who have had false and defamatory statements placed on their Form U5 records by their employers.
Chris has served as general counsel and chief compliance officer to a FINRA member broker-dealer and SEC-registered investment advisor, where he handled litigation and legal and compliance risk management, as well as product due diligence. In both his capacities as general counsel and chief compliance officer, he worked closely with the SEC, FINRA and state regulators on audits, and in establishing firm best practices. He has authored and edited written supervisory procedures for both BDs and RIAs.
Chris is also deeply experienced in non-solicit and non-compete issues as they relate to brokerage firms and has successfully resolved corporate raiding matters for both claimants and respondents in several states.
When not working, Chris enjoys hanging out with his wife Siobhan Briley, also an attorney, and their dog Milo, and divides his time between Michigan and his native Iowa.
Education
Duke University, B.A., 1989
Bar Admissions
- Michigan
- Texas
- Florida
- New York
- Illinois
Are You Ready to Talk About Your Situation?
Contact the Attorneys at Law Offices of Christopher H. Tovar, PLLC.
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Securities Practice Group
The Law Offices of Christopher H. Tovar, PLLC are headquartered in Southeast Michigan. Christopher H. Tovar is licensed in Michigan, Texas, Florida, New York, and Illinois and operates nationwide.*
* Michigan, Florida, Illinois, California, and New Jersey require bar membership to arbitrate FINRA cases in their jurisdictions. The Law Offices of Christopher H. Tovar, PLLC maintains relationships with attorneys in all 50 states and can arbitrate your case on a pro hac basis.
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