“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.”
Overview
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.