About

Christopher H. Tovar is a attorney in Howell, MI, Michigan, with giant revel in in securities arbitration and litigation. Christopher H. Tovar has a historical past in the securities industry, having labored as a registered representative with countrywide brokerage corporations before transitioning to a career as an attorney that specialize in securities arbitration before NASD and NYSE (now FINRA) panels, in addition to litigation in court settings. His know-how lies in representing investors in cases involving brokerage negligence and fraud problems along with unsuitability, churning, failure to oversee, promoting away, mishandling of incentive inventory alternatives, investment banking fraud, and conversion. Additionally, he has enjoy representing brokers and brokerage firms in protecting against such claims, as well as supporting brokers who've been wrongfully terminated or confronted defamatory statements on their data. In addition to his work with investors and agents, Mr. Tovar has served as wellknown recommend and chief compliance officer to a FINRA member dealer provider and SEC-registered investment guide. In these roles, he dealt with arbitration and litigation subjects, criminal and compliance hazard management, and product due diligence within the securities and insurance sectors. He has collaborated carefully with regulatory bodies together with the SEC, FINRA, and state regulators on audits and organising nice practices for companies. Mr. Tovar has additionally authored and edited written supervisory tactics for dealer dealers and registered funding advisors, working to enhance supervisory structures for both kinds of entities, inclusive of hedge budget. Mr. Tovar's information extends to non-solicit and non-compete issues within brokerage corporations, where he has efficaciously resolved corporate raiding subjects for each claimants and respondents across multiple states.

Legal Issues

Arbitration & Mediation

Business Arbitration, Consumer Arbitration, Family Arbitration

Business Law

Business Contracts, Business Dissolution, Business Finance, Business Formation, Business Litigation, Franchising, Mergers & Acquisitions, Partnership & Shareholder Disputes

Employment Law

Employee Benefits, Employment Contracts, Employment Discrimination, ERISA, Overtime & Unpaid Wages, Sexual Harassment, Whistleblower, Wrongful Termination

Securities Law

Stockbroker & Investment Fraud

Certificates

No Certifications

Languages

• German: Written
• Mandarin: Spoken
• Portuguese: Written
• Russian: Spoken, Written
• Spanish: Written

Accepted Jurisdictions

Experience

• Owner
  Law Offices of Christopher H. Tovar, PLLC
  2016
• Vice President, Legal Department
  Cambridge Investment Research, Inc.
  2015
• Counsel
  Oppenheimer & Co.
  2013
• Managing Partner
  Tovar & Cline, LP
  2010
• Partner
  Hertz Schram, P.C.
  2010
• General Counsel and Chief Compliance Officer
  Investment Professionals, Inc.
  2007
• Contract Lawyer
  Greer Herz & Adams, L.L.P.
  2007
• Lawyer
  Shepherd, Smith, Edwards & Kantas, L.L.P.
  2002
• Registered Representative
  CUNA Mutual Group
  2001
• Registered Representative
  Morgan Stanley Dean Witter
  1999

Education

Associations

Costs

Location