Securities Industry Law Firm, Illinois & The U.S.
Securities Practice Group
The Law Offices of Christopher H. Tovar, PLLC is a securities industry law firm. Christopher H. Tovar is licensed in Illinois, and his firm serves FINRA-member broker-dealers and SEC-registered investment advisory (RIA) firms around the United States in handling regulatory issues and litigation.
Areas of Practice
Securities
Arbitration
Two decades of experience in FINRA arbitration and in defending arbitral awards in the federal courts.
Employment
Law
Handling U5 defamation, non-solicit/non-compete, and corporate raiding cases all over the country.
Compliance & Supervision
Our principal is a former chief compliance officer & author of supervisory procedures for many broker-dealers & advisory firms.
Formation
& Registration
Make it safely through your first audit and establish a solid relationship with regulators.
A Security Industries Law Firm
Securities Industry Law
Our firm deals exclusively with securities industry litigation and regulatory issues, representing FINRA-member broker-dealers and associated persons in disputes and regulatory inquiries.
Corporate Employment Law
We work to protect your reputation as you serve your firm and clients, and move your book of business.
Compliance & Supervision
As former compliance officers and operations staff, we have the nuts-and-bolts experience to help you and your firm succeed in one of the world’s most heavily regulated industries.
Representative Matters for RIAs and BDs
From registering your firm to creating its written supervisory procedures and running a compliant operation, we have the nuts-and-bolts experience to help you and your firm succeed in one of the world’s most heavily regulated industries.
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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.