This page displays a list of people whose last names include KARL. Where an individual does not have a BrokerCheck record, a record of the bar can be found in the summary in the FINRA Monthly Disciplinary Action Report. People whose last names start with the letter K. For more complete information, please consult BrokerCheck. Individuals who have been barred by FINRA as a result of a disciplinary decision or expedited proceeding will not appear on this list until the decision becomes a final FINRA action and the time period provided for an appeal permitted under the Exchange Act has expired. This list includes individuals who were barred by FINRA as of January 31, 2023. ![]() Where indicated, individuals on this list have appealed FINRA's final action to the SEC or, in the case of a final order of the SEC sustaining FINRA's action, to the courts thus, the findings and sanctions of FINRA in those instances are subject to review and modification by the SEC or the courts. Schwartz reviews, rating, hours, phone number, directions and more. Schwartz can be contacted at (818) 350-2658. ![]() The list comprises individuals who were associated with a FINRA registered firm on or after FINRA launched Web CRD on August 16, 1999. Schwartz at 16633 Ventura Blvd Suite 1240, Encino, CA 91436. Workplace Accident Attorneys & Personal Injury Lawyers Serving Encino, CA and Surrounding Areas. The individuals listed below have a FINRA bar in effect, which means FINRA has permanently prohibited them from association with any member in any capacity. Scott Schwartz from Law Office of Scott A.
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