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Josh Bautz
Senior Associate
21st Floor
Miami, FL 33131
27th Floor
New York, NY 10017
Josh focuses on complex litigation and securities regulatory matters. He is skilled in handling disputes in state court, federal court, and arbitration, with an emphasis on the financial services industry. Josh is well-versed in U.S. Securities and Exchange Commission (SEC) enforcement actions, as well as regulatory issues involving the Financial Industry Regulatory Authority (FINRA), state...
Josh focuses on complex litigation and securities regulatory matters. He is skilled in handling disputes in state court, federal court, and arbitration, with an emphasis on the financial services industry. Josh is well-versed in U.S. Securities and Exchange Commission (SEC) enforcement actions, as well as regulatory issues involving the Financial Industry Regulatory Authority (FINRA), state securities regulators, the Commodity Futures Trading Commission (CFTC), and the Department of Justice (DOJ). With a background counseling financial advisers and private investment funds under the Investment Advisers Act of 1940, he combines litigation expertise with a thorough understanding of financial institution regulation and a strategic approach to resolving complex business and regulatory challenges.
securities regulators, the Commodity Futures Trading Commission (CFTC), and the Department of Justice (DOJ). With a background counseling financial advisers and private investment funds under the Investment Advisers Act of 1940, he combines litigation expertise with a thorough understanding of financial institution regulation and a strategic approach to resolving complex business and regulatory challenges.
Experience
Experience
- Representing individuals and entities in connection with investigations and litigation initiated by the SEC, CFTC, FINRA, DOJ, and state securities regulators.
- Representing individuals and entities in complex commercial and securities litigation matters in state court, federal court and arbitrations.
- Representing individuals and financial institutions in registration and regulatory compliance matters involving broker-dealers and investment advisers, with particular attention to private investment funds and the Investment Advisers Act of 1940.
Representative Matters
- Represented an individual and entity in a SEC investigation and ensuing federal court action concerning allegations of acting as an unregistered dealer.
- Represented numerous private investment funds with Investment Advisers Act of 1940 registration and compliance including Form ADV filings along with policies and procedures.
- Represented numerous individuals and entities in SEC investigations concerning allegations of insider trading, cherry-picking, and use of proceeds misrepresentations.
- Represented financial institution in exploratory analysis of money transmitter licenses relating to prospective stablecoin and cryptocurrency business.
- Represented individual in SEC investigation and DOJ parallel criminal proceeding concerning allegations of Ponzi scheme operations.
- Represented numerous individuals in FINRA disciplinary and expungement proceedings.
- Represented an individual in state court securities fraud action relating to offering document misrepresentations.
- Represented individual in CFTC action relating to the fraudulent solicitation of binary option trading systems.
- Represented individual investors in FINRA arbitrations relating to Puerto Rico sovereign debt.
- Represented numerous individuals in Florida Office of Financial Regulation (OFR) inquiries relating to investment adviser registration status.
Previous Professional Experience
- Litigation associate, Ft. Lauderdale-based law firm (2024–2025)
- Investment management associate, New York office of global law firm (2021–2023)
- Litigation associate, Boca Raton-based boutique law firm (2017–2021)
Internships
- Legal Intern, The U.S. Securities & Exchange Commission, Enforcement Division (2016)
- Student Legal Intern, Investor Rights Clinic, University of Miami School of Law (2015)
Education
-
University of Miami School of Law,
JD
(2017)
- Alumni Editor, University of Miami Business Law Review
- International Moot Court Program, VIS International Commercial Arbitration Competition
- University of Florida, MS, Finance (2013)
- University of Florida, BS, Finance (2012)
Admissions
- Florida
- New York
- U.S. District Court for the Southern District of Florida
Experience
- Representing individuals and entities in connection with investigations and litigation initiated by the SEC, CFTC, FINRA, DOJ, and state securities regulators.
- Representing individuals and entities in complex commercial and securities litigation matters in state court, federal court and arbitrations.
- Representing individuals and financial institutions in registration and regulatory compliance matters involving broker-dealers and investment advisers, with particular attention to private investment funds and the Investment Advisers Act of 1940.
Representative Matters
- Represented an individual and entity in a SEC investigation and ensuing federal court action concerning allegations of acting as an unregistered dealer.
- Represented numerous private investment funds with Investment Advisers Act of 1940 registration and compliance including Form ADV filings along with policies and procedures.
- Represented numerous individuals and entities in SEC investigations concerning allegations of insider trading, cherry-picking, and use of proceeds misrepresentations.
- Represented financial institution in exploratory analysis of money transmitter licenses relating to prospective stablecoin and cryptocurrency business.
- Represented individual in SEC investigation and DOJ parallel criminal proceeding concerning allegations of Ponzi scheme operations.
- Represented numerous individuals in FINRA disciplinary and expungement proceedings.
- Represented an individual in state court securities fraud action relating to offering document misrepresentations.
- Represented individual in CFTC action relating to the fraudulent solicitation of binary option trading systems.
- Represented individual investors in FINRA arbitrations relating to Puerto Rico sovereign debt.
- Represented numerous individuals in Florida Office of Financial Regulation (OFR) inquiries relating to investment adviser registration status.
Previous Professional Experience
- Litigation associate, Ft. Lauderdale-based law firm (2024–2025)
- Investment management associate, New York office of global law firm (2021–2023)
- Litigation associate, Boca Raton-based boutique law firm (2017–2021)
Internships
- Legal Intern, The U.S. Securities & Exchange Commission, Enforcement Division (2016)
- Student Legal Intern, Investor Rights Clinic, University of Miami School of Law (2015)
Media
Josh focuses on complex litigation and securities regulatory matters. He is skilled in handling disputes in state court, federal court, and arbitration, with an emphasis on the financial services industry. Josh is well-versed in U.S. Securities and Exchange Commission (SEC) enforcement actions, as well as regulatory issues involving the Financial Industry Regulatory Authority (FINRA), state... securities regulators, the Commodity Futures Trading Commission (CFTC), and the Department of Justice (DOJ). With a background counseling financial advisers and private investment funds under the Investment Advisers Act of 1940, he combines litigation expertise with a thorough understanding of financial institution regulation and a strategic approach to resolving complex business and regulatory challenges.
Experience
The following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.Experience
- Representing individuals and entities in connection with investigations and litigation initiated by the SEC, CFTC, FINRA, DOJ, and state securities regulators.
- Representing individuals and entities in complex commercial and securities litigation matters in state court, federal court and arbitrations.
- Representing individuals and financial institutions in registration and regulatory compliance matters involving broker-dealers and investment advisers, with particular attention to private investment funds and the Investment Advisers Act of 1940.
Representative Matters
- Represented an individual and entity in a SEC investigation and ensuing federal court action concerning allegations of acting as an unregistered dealer.
- Represented numerous private investment funds with Investment Advisers Act of 1940 registration and compliance including Form ADV filings along with policies and procedures.
- Represented numerous individuals and entities in SEC investigations concerning allegations of insider trading, cherry-picking, and use of proceeds misrepresentations.
- Represented financial institution in exploratory analysis of money transmitter licenses relating to prospective stablecoin and cryptocurrency business.
- Represented individual in SEC investigation and DOJ parallel criminal proceeding concerning allegations of Ponzi scheme operations.
- Represented numerous individuals in FINRA disciplinary and expungement proceedings.
- Represented an individual in state court securities fraud action relating to offering document misrepresentations.
- Represented individual in CFTC action relating to the fraudulent solicitation of binary option trading systems.
- Represented individual investors in FINRA arbitrations relating to Puerto Rico sovereign debt.
- Represented numerous individuals in Florida Office of Financial Regulation (OFR) inquiries relating to investment adviser registration status.
Previous Professional Experience
- Litigation associate, Ft. Lauderdale-based law firm (2024–2025)
- Investment management associate, New York office of global law firm (2021–2023)
- Litigation associate, Boca Raton-based boutique law firm (2017–2021)
Internships
- Legal Intern, The U.S. Securities & Exchange Commission, Enforcement Division (2016)
- Student Legal Intern, Investor Rights Clinic, University of Miami School of Law (2015)
Education
-
University of Miami School of Law,
JD
(2017)
- Alumni Editor, University of Miami Business Law Review
- International Moot Court Program, VIS International Commercial Arbitration Competition
- University of Florida, MS, Finance (2013)
- University of Florida, BS, Finance (2012)
Admissions
- Florida
- New York
- U.S. District Court for the Southern District of Florida
Practice Areas
Highlights from the Firm’s Insights
