About Craig Zafis, FINRA Arbitration Attorney

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.