Mr. Christopher Harold Tovar

Christopher H. Tovar brings a wealth of experience from his previous role as a registered representative with national brokerage firms to his legal practice, where he focuses on securities arbitration and litigation. He adeptly represents investors in cases involving brokerage negligence and fraud, such as unsuitability, churning, and mishandling of incentive stock options. Additionally, he defends brokers and firms against similar claims, including wrongful termination and defamation issues on U-4/U-5 records.

In his role as general counsel and chief compliance officer for a FINRA member broker dealer and SEC-registered investment advisor, Mr. Tovar managed arbitration, litigation, and compliance risk management. He worked closely with the SEC, FINRA, and state regulators to develop firm best practices and oversee audits. His expertise extends to authoring supervisory procedures for both broker dealers and investment advisors.

Mr. Tovar also advises hedge funds and has a strong background in non-solicit and non-compete issues within the brokerage industry. He has successfully resolved corporate raiding disputes for clients across multiple states.