About
Christopher H. Tovar labored in the securities industry as a registered consultant with two national brokerage companies before becoming an lawyer specializing in securities arbitration earlier than NASD and NYSE (now FINRA) panels and litigation in court docket settings. He has represented buyers looking for redress in instances concerning the full range of brokerage negligence and fraud troubles, from unsuitability to churning, failure to oversee, selling away, mishandling of incentive inventory options, funding banking fraud and conversion. He has also represented agents and brokerage corporations in defending towards such claims, in addition to brokers who have been wrongfully terminated or who have had fake and defamatory statements located on their U-four/U-five records by using their employers.
Mr. Tovar has also served as fashionable recommend and leader compliance officer to a FINRA member broker supplier and SEC-registered investment guide, where he dealt with arbitration and litigation matters, and prison and compliance hazard management, in addition to product due diligence in the securities and insurance contexts. In both his capacities as preferred suggest and chief compliance officer, he has worked intently with the SEC, FINRA and state regulators on audits of those entities, and in establishing firm fine practices. He has authored and edited written supervisory strategies for both broker dealers and registered investment advisors, nation and federally registered, and labored with each types of entities in establishing and enhancing supervisory structures. He has additionally served hedge finances in these capacities.
Mr. Tovar is experienced in non-solicit and non-compete troubles as they relate to brokerage companies, and has efficiently resolved corporate raiding subjects for each claimants and respondents in several states.
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Location
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
Costs
Certificates
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
Educations
Graduation year: 1996
Graduation year: 1993
Graduation year: 1986
