SEC Compliance Attorney reviewing charts |Securities Practice|

SEC Compliance Attorney
Compliance & Supervision

Christopher H. Tovar is a former Chief Compliance Officer for a FINRA-member broker-dealer and an SEC-registered investment advisory firm (RIA). In the over 100 FINRA arbitrations and other matters he has litigated, this background has helped him successfully represent his clients, including brokerage firms, brokers, and RIAs. He has also saved many firms and individuals millions of dollars in potential regulatory fines and other costs in dealing with regulators.

Our Law Firm Provides Legal Counsel & Representation for SEC Compliance and Supervision.

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Compliance Policy and Code of Ethics a.k.a. Written Supervisory Procedures

We can either build your Written Supervisory Procedures from scratch or evaluate and strengthen what you have already, depending on your needs. Read More »
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Annual Audits and Mock Audits

Let us help you prepare for your upcoming audit by SEC or FINRA and stress test your written supervisory procedures in the field. Read More »
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SEC / FINRA Regulatory Examinations and Inquiries

We have handled dozens of periodic SEC and FINRA regulatory exams and inquiries over the past twenty years, and numerous inquiries from state securities and insurance regulators. Let us put that experience to work for you. Read More »
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Disciplinary Proceedings

The SEC and FINRA are tougher on firms – and brokers – these days than they have ever been. Protect your reputation with the help of securities attorneys who know their business. Read More »
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Annual Filings

As an RIA firm, you have certain filing requirements you must meet every year. Mistakes can cost you. Read More »
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Other Compliance Services

Depending on your level of need, we can provide most all services needed to keep your firm compliant, from routine record-keeping to branch-level supervision and product due diligence. Read More »

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Securities Practice Group

The Law Offices of Christopher H. Tovar, PLLC
3990 Chilson Road
Howell, MI 48843
(832) 370-3908

mjolnir |Securities Practice|

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.

Tags:   SEC compliance attorney SEC compliance requirements SEC compliance and supervision

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