Todd E. Schwartz, Partner
Since 2001, Todd has been assisting investment advisors to build their businesses without fear of regulatory repercussions. He does not believe in scare tactics. Instead he eases clients' concerns by demystifying compliance mandates. Schwartz Law Group was established based on the above values. Our practice focuses entirely on investment advisory compliance and legal matters.
Todd has extensive experience advocating for clients during SEC examinations and state audits. He has represented clients in numerous FINRA arbitration cases and assisted investment professionals expunge unfair disclosures on their U4 Forms. He has served as an expert witness on the Investment Advisers Act of 1940. Todd has spoken at a number of financial industry conferences and regularly writes compliance related articles for national publications.
Todd is a 1986 graduate of Willamette University in Salem, Oregon. He attended The University of Oregon Law School from 1988-1991 where he was law review Staff Editor. Upon passing the Oregon State bar, Todd was hired as an administrative law judge for the Oregon Employment Department. At that time, Todd had the distinction of being the youngest administrative law judge in Oregon. In 2000, he crossed from the public sector into the private sector when he accepted a position as Corporate Counsel, with a large IT company based in Redmond, Washington. The company, Inteliant, Inc., had over 900 employees and revenue of $100 million.
Todd currently lives in Portland, Oregon. He enjoys spending time with his family, kiteboarding and playing lacrosse.
Education:
Willamette University, BA (1986)
University of Oregon, JD (1991)
Professional Memberships, Activities and Community Service:
Oregon State Bar, Member
United States District Court (Oregon)
Multnomah County Bar Association, Member
Oregon State Bar Securities and Business Sections, Member
Pro Bono Legal Services
Youth soccer coach
Additional Team Members with Bio's/Photos in Process:
Merl Ledford III, Of Counsel
Leslie Ireland, Executive Assistant
Mark St. John, Lead Paralegal
Since 2001, Todd has been assisting investment advisors to build their businesses without fear of regulatory repercussions. He does not believe in scare tactics. Instead he eases clients' concerns by demystifying compliance mandates. Schwartz Law Group was established based on the above values. Our practice focuses entirely on investment advisory compliance and legal matters.
Todd has extensive experience advocating for clients during SEC examinations and state audits. He has represented clients in numerous FINRA arbitration cases and assisted investment professionals expunge unfair disclosures on their U4 Forms. He has served as an expert witness on the Investment Advisers Act of 1940. Todd has spoken at a number of financial industry conferences and regularly writes compliance related articles for national publications.
Todd is a 1986 graduate of Willamette University in Salem, Oregon. He attended The University of Oregon Law School from 1988-1991 where he was law review Staff Editor. Upon passing the Oregon State bar, Todd was hired as an administrative law judge for the Oregon Employment Department. At that time, Todd had the distinction of being the youngest administrative law judge in Oregon. In 2000, he crossed from the public sector into the private sector when he accepted a position as Corporate Counsel, with a large IT company based in Redmond, Washington. The company, Inteliant, Inc., had over 900 employees and revenue of $100 million.
Todd currently lives in Portland, Oregon. He enjoys spending time with his family, kiteboarding and playing lacrosse.
Education:
Willamette University, BA (1986)
University of Oregon, JD (1991)
Professional Memberships, Activities and Community Service:
Oregon State Bar, Member
United States District Court (Oregon)
Multnomah County Bar Association, Member
Oregon State Bar Securities and Business Sections, Member
Pro Bono Legal Services
Youth soccer coach
Additional Team Members with Bio's/Photos in Process:
Merl Ledford III, Of Counsel
Leslie Ireland, Executive Assistant
Mark St. John, Lead Paralegal