Joshua F. Bautz, Esq.Associate
Joshua F. Bautz practices various aspects of Securities Law, including: securities litigation and arbitration; securities enforcement and regulation; white collar criminal defense; broker-dealer compliance; and complex commercial litigation.Professional Experience:
Mr. Bautz has advised and represented clients ranging from large financial institutions to individual investors, in a variety of matters, including Security and Exchange Commission (“SEC”) and FINRA regulatory matters, FINRA arbitrations, Department of Justice (“DOJ”) investigations, stock exchange inquiries, state regulatory matters, and federal and state lawsuits.
Mr. Bautz began developing his securities law experience prior to graduating from law school. During the spring of 2016, Mr. Bautz worked for the SEC as a Certified Legal Intern.
Mr. Bautz also represented investors through his work in the University of Miami Investor Rights Clinic as a Legal Intern.
Prior to attending law school, Mr. Bautz worked at LPL Financial after receiving his Master’s degree in Finance.Publications:
Joshua F. Bautz, Modernizing Financial Legislation to Protect Older Americans from Financial Abuse, 25 U. Miami Bus. L. Rev. 89 (2017).
Available at: https://repository.law.miami.edu/umblr/vol25/iss3/6
Mr. Bautz received his Bachelor’s degree in Finance and Master’s degree in the Science of Finance from the University of Florida. Mr. Bautz received his Juris Doctor degree from the University of Miami School of Law.
During law school, Mr. Bautz served as the Alumni Editor of the University of Miami Business Law Review.
Mr. Bautz was also a member of the University of Miami International Moot Court Team where he received the Honorable Mention for Best Overall Oralist award at the Shanghai Pre-Moot of the William C. Vis Competition. Mr. Bautz represented the University of Miami in competitions located in: Sao Paolo, Brazil; Shanghai, China; Hong Kong; and across the State of Florida.Bar Memberships and Jurisdiction Admitted to Practice:
Mr. Bautz became a member of the Florida Bar in 2017 and is admitted to practice in the state courts of Florida and the U.S. District Court for the Southern District of Florida.
Additionally, Mr. Bautz passed the Uniform Bar Examination administered in New York in February of 2018, and is in the process of finalizing further state bar admissions.