Originally from Tampa, Florida, Mr. Schwartz earned his Bachelor of Science from Florida State University and his Juris Doctor, cum laude, from Nova Southeastern University. While in law school, Mr. Schwartz was the Technical Editor and Associate Managing Editor of the Journal of International and Comparative Law. Before joining Cole, Scott and Kissane, Mr. Schwartz worked as Government Affairs Counsel for the Financial Services Institute - a Washington, D.C. based financial services lobbying association; in-house corporate counsel for TransAmerica - an international financial services firm; and as staff attorney for the National Association of Securities Dealers (n/k/a FINRA) Office of Dispute Resolution.
Mr. Schwartz is a Florida Supreme Court certified mediator, hearing officer appointed by the Hillsborough County Board of County Commissioners, a FINRA Arbitrator, Co-Chairman of the Tampa Bay Securities Compliance Group and member of the Board of Directors of the Bay Area Advisors, Inc. He is also a member of the American Bar Association, Hillsborough County Bar Association and Claims & Litigation Management Alliance.
The Efficacy of Securities Arbitration and Proposals for Change
Financial Regulation Since the 2008 Financial Crisis
FINRA Arbitration and Emerging Trends
Cyber Security - Under the Microscope of Regulators
(Resident, Tampa Office)
PROFESSIONAL ASSOCIATIONS & MEMBERSHIPS
•American Bar Association
•Hillsborough County Bar Association, Securities Litigation Section
•Bay Area Advisors, Board Member
•Tampa Bay Securities Compliance Group, Co-Chairman
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