|Securities Litigation and Arbitration, Securities Regulation and Compliance, Professional Liability Litigation, Labor and Employment, Business and Commercial Litigation|
|Tel:||(310) 836-4800||Fax:||(310) 836-4801|
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David Maurer is Of Counsel in the Los Angeles Office of Winget, Spadafora & Schwartzberg. Mr. Maurer has extensive experience representing clients in the securities and financial services industry as well as businesses ranging from small family run businesses to Fortune 500 companies. He has conducted arbitrations before the NASD and the American Arbitration Association as well as trials in both state and federal court.
Prior to associating with the firm, Mr. Maurer was the Chief Compliance Officer and head of the legal department for both a mid size, full service self-clearing broker-dealer and registered investment adviser. He was responsible for the day to day operation of both departments at the broker dealer and the registered investment adviser. On the legal side, among other matters, Mr. Maurer was responsible for overseeing the firms' legal obligations including business, contract and regulatory issues. He was responsible for advising the broker dealer on labor and employment issues, including wage and hour issues concerning the firm's registered representatives. Mr. Maurer was responsible for managing the firms' arbitration and litigation calendars and supervising outside counsel. On the compliance side, among other issues, Mr. Maurer was responsible for establishing, adopting and maintaining written policies and procedures, conducting annual testing and certification pursuant to NASD Rule 3012, FINRA Rule 3130 and Rule 206(4)-7 of the Investment Advisers Act of 1940 and modifying and maintaining the written Code of Ethics mandated by Rule 204A-1 of the Investment Advisers Act of 1940. He successfully oversaw examinations by the NASD, FINRA and the SEC as well as state regulatory departments. He regularly interfaced with state, federal and SRO regulators on a wide variety of issues.
Prior to his in house compliance and legal experience, Mr. Maurer was a partner in a small boutique law firm that represented broker dealers, registered representatives and related financial service clients in securities and business arbitration and litigation. He began his legal career as an associate in the litigation department of a New York based international law firm.
Mr. Maurer is a graduate of the University of California Berkeley. He received his J.D. from Loyola Law School in Los Angeles California. He was a judicial extern for Judge Terry J. Hatter, Jr. of the United States District Court for the Central District of California.
Mr. Maurer is admitted to practice law in California and Massachusetts as well as the Ninth Circuit, Federal Circuit, Central, Southern, Eastern and Northern Districts of California and the District of Colorado. Mr. Maurer is a member of the Securities Industry and Financial Markets Association (SIFMA) - Compliance and Legal Division and the National Society of Compliance Professionals. He is currently an Arbitrator with FINRA Dispute Resolution and has been a NASD and FINRA Arbitrator for more than 15 years.