“My securities litigation and transactional experience for over thirty years gives me a unique perspective in helping clients’ needs because I have seen the good and the bad, and the problems that arise with faulty or short-sighted advice.”
John has a unique practice as he handles securities regulatory and transactional matters as well as securities litigation and arbitrations, including white collar crime.
John routinely prepares disclosure and corporate documents; negotiates and prepares contracts; regulatory filings; interprets federal and state securities laws; and represents clients before FINRA, the SEC, and various state commissioners of securities. John has special expertise with regard to investment advisers, routinely advising clients on investment advisor and investment company laws and regulations. This includes the preparation of initial and annual filings (Form CRS, ADV etc.), compliance manuals and other supervisory materials, investment management agreements and related filings as well as the negotiation and preparation of merger and acquisition agreements, employment agreements, and offering documents.
John has a broad range of experience in securities disputes, including class actions, multi-district litigation, derivatives, listed and OTC, suitability, securities fraud, shareholder derivative litigation, proxy litigation, raiding, and underwriting disputes. John also represents clients before the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) in administrative matters.
Clients rely on John to prepare disclosure documents, sale documents, public offerings, corporate documents, compliance manuals, contracts and regulatory filings. He also counsels clients on related corporate needs, including:
- Corporate investigations
- Insider trading, fraud, and other white-collar crime
- Shareholder and director duties and requirements
- Mergers and acquisitions
- Private placements
- Registered investment advisor regulation
- Restricted stock transactions
- Regulatory and public filings
- Broker-dealer regulation, proxy fights and other issues
Additionally, his significant litigation experience includes handling disputes on both sides of the docket associated with shareholder issues, officer and director liability, proxies, professional liability, breach of fiduciary duty, breach of employment agreements, employee theft and fraud, RICO, bankruptcy, collection and breach of contract disputes. John has litigated administrative, civil and criminal cases at the trial and appellate levels and in arbitration, including cases with damages greater than $100 million. He is also a FINRA arbitrator and has served as an arbitrator on numerous occasions.
John also has significant experience in organizing, coordinating, utilizing, and litigating e-discovery issues and he has worked on all major e-discovery platforms.