FINRA Arbitration Attorney, Craig Zafis

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.

Steve Sarnoff

As a client for nearly a quarter century, I am happy to say Craig Zafis exemplifies the best qualities of a steadfast and trustworthy counsel. Craig is a logical and analytical thinker, who readily finds creative and reasonable solutions to clients’ problems.

Editor / The Options Hotline

Lisa Roth

Over the years, I have worked with a good number of attorneys. Some with high integrity, others especially hardworking, some personable and others driven by results. Craig brings all of these traits to every matter.

CEO, CCO / Keystone Capital Corporation

Barry Champney

I have worked with Craig for about 4 years now. His greatest assets for our firm have been his creativity, insightfulness and openness to innovative ideas. Craig is a plain-talker who is able to unravel complex problems into simple and direct explanations, leading to excellent resolutions. Craig Zafis is a dedicated professional who consistently demonstrates his caring and ethical responsibilities.

Chief Compliance Officer / Vanderbilt Securities Group

Susan Woltman Tietjen

Over the years I’ve worked with many attorneys and have to say that what stands out about Craig is his work ethic, character and dedication to his client. He works tirelessly to negotiate the best outcome for his client, he is honest, straightforward and trustworthy and he genuinely cares about his clients professionally and personally.

Chairman/ CEO / Girard Securities, Inc.

FINRA Arbitration Attorney

Craig Zafis has participated in well over 100 securities arbitrations before the NASD and FINRA and other regulatory authorities. He has successfully defended firms and representatives in matters alleging a variety of law and rule violations.

Securities Regulation Defense

The sanctions dispensed by regulatory bodies like FINRA and the states securities departments are constantly increasing in severity. It is essential that a firm or adviser utilize experienced counsel like Craig Zafis when dealing with these regulators.

Contact FINRA Attorney, Craig Zafis Today

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Need a No Action Letter From a FINRA Attorney?

If you have received FINRA notification about any type of inquiry, investigation, and or proceedings against you, you WILL need an experienced representative on your side. The SEC, FINRA, state securities regulators and professional organizations like the Certified Financial Planners (CFP) Board are increasingly becoming more aggressive in their regulatory oversight.

The firm has successfully assisted financial advisers and firms in obtaining “No Action” letters from FINRA and several state regulators for allegations, if proven, would have resulted in severe sanctions. For those matters not so easily resolved, the firm has a keen understanding of the applicable sanction guidelines and have negotiated settlements of regulatory investigations which have kept firms and advisers in business. When facing any type of regulatory investigation or inquiry against you, your first course of action should be to consult with a knowledgeable and experienced FINRA Attorney such as Craig Zafis.

Need Help With U4, U5 or 3070 Disclosures?

Mr. Zafis has experience in industry related employment and reporting issues such as
U-4, U-5 and 3070 disclosures as well as litigation related to:

Registered representative agreement
Forgivable loans and the perils and common pitfalls of moving to a new firm
Defending litigation involving alleged misappropriation of trade secrets
Breach of restrictive covenants such as non-solicitation
Non compete and confidentiality agreements
Customer privacy issues

When given the opportunity, he has facilitated brokers’ transition to a new firm without litigation.

(858 )384-7380