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 30 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.



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.
FINRA Attorney

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

for a free consultation!

FINRA Attorney

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 agreements
  • 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.

FINRA Attorney