John is a trusted adviser to broker-dealers and other wealth management firms. On a nationwide basis, John has managed a wide range of matters, including sensitive internal reviews, high profile regulatory investigations by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and State regulators, complex FINRA Rule 4530 and U4/U5 disclosure issues, and contentious litigation and arbitration proceedings. John's unique experience enables his clients to make informed strategic decisions.