Over 30 Years as a FINRA Attorney and Securities Regulation Defense Attorney
Zafis Law provides experienced and effective legal counsel for matters of Securities Fraud/Regulatory Defense, SEC/FINRA investigations and securities arbitration matters. Craig Zafis has defended firms and advisers under a variety of circumstances during his more than 35 years of practice.
As a securities regulation defense attorney, his unique experience on both sides of the legal spectrum give him the knowledge and keen legal insight to fully understand and exploit all nuances of this growing field of law. If you are a Firm or an Advisor facing regulatory inquiry or formal proceeding, FINRA Attorney, Craig Zafis will help you achieve the absolute best possible outcome for your situation.
The firm principal, Craig Zafis, has over 30 years experience and is a former partner in a 40 attorney multistate law firm. He is licensed in California, Texas and Indiana and several United States District Courts around the country. He has successfully prosecuted securities class actions and acted as outside counsel to both the Federal Deposit Insurance Corporation and the Resolution Trust Association. He has argued before the Ninth Circuit Court of Appeals, the Bankruptcy Appellate Panel and the Fourth District Court of Appeals and has appeared in federal courts in California, Texas, Nevada, Colorado and New Jersey.
In the area of securities, Mr. Zafis has represented investors as well as broker-dealers and registered representatives before the National Association of Securities Dealers, the Financial Industry Regulatory Authority, the New York Stock Exchange, the Pacific Stock Exchange and the National Futures Association. He has advised registered representatives, independent advisers and firms in regulatory inquiries concerning subjects including outside business activities selling away, the sale of equity indexed annuities to seniors, suitability, unauthorized trading and discretionary trading, fraud detection and prevention at the Firm level, failure to disclose referral fees, the alleged alteration of customer documents, questions about required disclosures by registered representatives and the timing of those disclosures and disputes concerning U-4 amendments and U-5 terminations.