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.
- Vanderbilt University School of Law, 1998, J.D.
- Seton Hall University, 1995, B.S., magna cum laude
- Nueva York
- Nueva Jersey
- U.S. Court of Appeals - Second Circuit
- U.S. Court of Appeals - Third Circuit
- U.S. District Court - District of New Jersey
- U.S. District Court - Southern District of New York
- U.S. District Court - Eastern District of New York
- U.S. District Court - Eastern District of Michigan
- Securities Industry and Financial Markets Association, Compliance & Legal Section