Nationally-recognized law firm Hertz Schram PC today announced the hiring of Christopher H. Tovar, former General Counsel and Chief Compliance Officer of Investment Professionals, Inc., a San Antonio, Texas-based brokerage and investment advisory firm, as a partner in its securities practice. Along with firm founder Bradley J. Schram, Mr. Tovar will lead Hertz Schram's Securities Team in offering the full range of services to FINRA member broker-dealers, registered investment advisors, individual brokers, insurance agents and corporate officers, including all facets of litigation and arbitration defense, regulatory compliance, firm risk management, and transactional support.
A University of Michigan Law School graduate, Mr. Tovar began his career in the securities industry as a broker with Morgan Stanley and later with CUNA Brokerage Services, where he learned the business from the ground up in wirehouse and credit union settings. Mr. Tovar then spent several years at a Houston law firm where he focused on FINRA proceedings involving customer claims, regulatory and employment matters. In his later work serving broker-dealers and investment advisory firms, he has also dealt extensively with the SEC, FINRA and with state securities and insurance regulators.
According to Tovar, "Protecting a brokerage's reputation, among its peers in the industry, regulators, potential hires, and investors, is critical to its long-term success and to our success as securities attorneys." His keen awareness of this point has been refined particularly over the past decade as he worked through two historic market meltdowns, and the aftermath, both as a broker, and as an attorney and risk manager.
Tovar was attracted to Hertz Schram PC, a firm representing national and regional broker-dealers and investment advisors, as well as the officers of major corporations, throughout the United States since 1979, because of the consistent quality, as well as longevity, of its Securities Team. "The attorneys at Hertz Schram represent the best brokerages in the industry, working consistently well with them—and with each other—to solve problems."
The Securities Team also welcomes collaboration with and referrals to and from other attorneys and compliance professionals throughout the United States.
Hertz Schram PC is based in Bloomfield Hills, Michigan, and has maintained its securities practice since it was founded in 1979.
Hertz Schram PC
Bradley J. Schram
1760 S. Telegraph Rd., Ste. 300
Bloomfield Hills, MI 48302-0183
(248) 335-5000
www.hertzschram.com
