Alex Robert Schmidt

Securities and Investment Fraud Attorney | Serving , NJ

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Securities and Investment Fraud
Criminal Defense

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Alex Robert Schmidt

Securities and Investment Fraud Attorney | Serving , NJ

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Securities and Investment Fraud & Criminal Defense

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Biography

I specialize in broker dealer, securities law and criminal law. I provide legal counsel to broker dealers and investment advisors, as well as investors seeking to pursue a claim in litigation or more likely through FINRA arbitration. Prior to law school, I worked for a number of years as a Series 7 broker and Series 66 investment advisor. My practice area also focuses on regulatory inquiries and investigations, from FINRA, the SEC, as well as the New Jersey Bureau of Securities. I also handle employment related legal issues pertaining to financial advisors and registered representatives such as the Broker Protocol, FINRA expungement, and FORM U5 Reformation.