Securities Practice Group: The Law Offices of Christopher H. Tovar, PLLC is a specialized securities industry law firm focused exclusively on representing FINRA-member broker-dealers and SEC-registered investment advisory firms across the United States. Known as “The U5 Guy™,” the firm stands out for its deep regulatory knowledge and extensive experience in securities litigation and compliance matters.
With over two decades of experience, the firm’s principal is a former chief compliance officer who has authored supervisory procedures for numerous financial firms. The practice is dedicated to protecting the reputations and business interests of broker-dealers, registered representatives, and investment advisors, offering strategic guidance through complex regulatory landscapes and high-stakes disputes.
Services Offered
- Securities Arbitration
- Securities Fraud Representation
- Employment Law (U5 Defamation, Non-Solicit/Non-Compete, Corporate Raiding)
- Compliance & Supervision
- Formation & Registration of Broker-Dealers and RIAs
- Regulatory Issue Resolution
- Defense of Arbitral Awards in Federal Courts
- Corporate Employment Law
- Written Supervisory Procedures Development
- Representation in FINRA and SEC Inquiries
The firm operates nationwide, with the principal licensed in Michigan, Texas, Florida, New York, and Illinois, and maintains relationships with attorneys in all 50 states to handle cases on a pro hac vice basis where required.
