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John C. Anjier
Main image for John C. Anjier

JOHN C. ANJIER

Shareholder

,
New Orleans
T  504.556.4177
jcanjier@liskow.com
Connect with me
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Practices

  • Litigation
  • Mergers & Acquisitions
  • Professional Liability
  • Contract and Quasi-Contract Disputes
  • Director & Officer Liability
  • Securities
  • Shareholder Disputes and Derivative Actions
  • Unfair Trade Practices and Business Torts
  • Trade Secrets, Unfair Competition, and Non-Competes
  • Corporate
  • Criminal Defense & Government Investigations

Blogs

  • The Energy Law Blog - John C. Anjier

Assistant

Elizabeth Fisher

504.299.6106

“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.

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.

Notable Experience

Representative Projects:

  • Represented independent broker-dealer office in negotiating the sale of the office, including all facets of the transaction including the negotiation of the purchase agreement, employment agreements, incentive compensation. (2022).
  • Represented majority shareholder in the sale of a regional broker-dealer and investment adviser. Worked closely with client’s investment consultants to coordinate and to facilitate a nationwide search for potential buyers. Negotiated and drafted term sheet, purchase agreement, and related documents. Coordinated the due diligence and prepared the disclosure schedules. Advised on amendments necessary to investment advisory and customer agreements. Handled communications with other shareholders and employees. (2020-21).
  • Worked closely with the financial services and trust departments of a regional bank on reconfiguring its investment adviser and broker-dealer subsidiaries including the preparation of contracts, disclosure documents, regulatory filings, and written supervisory procedures. (2022).
  • Drafted employment and incentive compensation agreements for officers of regional broker-dealer (2021).
  • Represent non-profit issuer in registration of $3 million offering with the State of Louisiana (2011-present).
  • Drafted investment advisory agreements for regional bank’s broker-dealer and trust department (2017).
  • Formed and registered investment adviser and drafted compliance manual and procedures, advisory agreements and related documentations (2017).
  • Advised investment advisor in connection with proxy fight for public company, including preparation and negotiation of director appointment agreements and Williams Act filings (2015 and 2016).
  • Represented investment advisor in connection with negotiated consent decree with SEC relating to advertising violations (2015-16).
  • Represent investment advisor in connection with SEC/State Securities Commissioner audit (2014-present)
  • Represent religious issuer in registration and sale of securities (2011- present).
  • Represented private equity group in $3.25 million debt and equity investment in oil field service company (2014).
  • Represented private equity group in $3.5 million debt and equity investment in oil field service company (2 rounds) (2014 and 2015).
  • Representing E&P company in syndication of two oil and gas partnership ($10 million and $5 million, respectively) (2011 and 2012).
  • Advised UK promoter on syndication of U.S. oil and gas investments, including advice on Regulation S (2014).
  • Represented E&P Company in negotiation, restructuring and refinancing of its private equity investment agreements (2012)

Representative Litigation:

  • Represented broker and investment adviser in extensive SEC, Justice Department, FINRA and state investigations relating to Ponzi scheme.  Represented client aggressively in multiple investigations resulting in favorable settlements. (2020-21).
  • Represented corporate officer and director and obtained summary judgment dismissing all claims.  Redhawk Holdings Corp. v Schrieber, No. 17-819 (E.D. La. 2018).
  • Represented corporate officer in connection with SEC action and DOJ prosecution for insider trading. (2017).
  • Represented national broker-dealer in raiding case resulting in favorable settlement (2017).
  • Represented officer of regional bank in SEC insider trading investigation and reached favorable settlement. (2017).
  • Represented widow in major UIT churning case, including coordination with FINRA, resulting in favorable settlement (2017).
  • Led team who represented investment advisor in proxy fight and related litigation that resulted in judgment in favor of client and ultimately in favorable settlement and appointment of a majority of the board of directors of the company and its sale (2015 and 2016). Included preparation and negotiation of director appointment agreements and Williams Act filings
  • With other lawyers, defended international law firm in major securities case in Louisiana (2013-16).
  • Defended investment advisor in SEC investigation and litigation including wrap and private equity programs (2016).
  • Represented plaintiff in prosecution of fraud and breach of fiduciary duty claims against broker-dealer resulting in favorable settlement (2016).
  • Represented officer of publicly traded bank in SEC insider trading prosecution resulting in favorable settlement (2015).
  • With other attorney, represented publicly elected figure in criminal prosecution and investigation (2012).
  • With other attorneys, secured a $34 million settlement on behalf of FDIC in a major director and officer case arising out of the failure of Westernbank Puerto Rico. FDIC v. Stipes (D.P.R. 2015).
  • In re OCA, Inc. Securities and Derivative Litigation, 2009 WL 512081, 05-2165 (E.D. La. March 2, 2009). Firm was appointed special counsel to investigate claims against former management of NYSE traded company. Designed coordinated litigation strategy pursuing simultaneous claims across multiple forums including bankruptcy court, district court, the SEC, and the Department of Justice. The strategy included intervening in consolidated derivative action and securities class actions and asserting control of the litigation. Claims included breach of fiduciary duty, fraud and conversion. Successfully worked with Department of Justice to convict former CFO and with the SEC to sanction former CEO and CFO. Successfully negotiated multimillion dollar settlement with insurance carriers.

Involvement

Professional

  • Louisiana Supreme Court Committee on Bar Admissions, Examiner for Business Entities and Negotiable Instruments (2014 – 2020)
  • FINRA, Arbitrator
  • Member, Louisiana State and American Bar Associations
  • Member, Securities Industry and Financial Markets Association – Compliance & Legal Division
  • Member, Louisiana State Law Institute – Single Business Enterprise Committee

Community

  • National Food and Beverage Foundation – Chairman, (2019 – 2022), Board Member, (2016 – present)
  • New Orleans Area Habitat for Humanity – President, (1996 – 1998), Board of Directors, (1993 – 2001)

Recognition

  • The Best Lawyers in America®, Commercial Litigation, Litigation - Securities, Securities / Capital Markets Law, 2011–2023
  • Best Lawyers® "Lawyer of the Year", Securities / Capital Markets Law, New Orleans, 2022
  • Benchmark Litigation Louisiana "Local Litigation Star," Securities and Professional Liability
  • New Orleans Magazine's List of "Top Lawyers," 2015–2022
  • Louisiana Super Lawyers, 2008, 2012–2022
  • Super Lawyers, Corporate Counsel Edition, 2008, 2012
  • BTI Client Service All-Star Team: Investment Banks and Their Law Firms, 2004
  • Who’s Who in American Law
  • LSU Law Center Hall of Fame

Listed Logo for John C. Anjier

Credentials

Education

  • Louisiana State University, Paul M. Hebert Law Center (J.D., 1990)
    • Order of the Coif
    • Louisiana Law Review, Member
  • George Washington University (1984-1987)
    • Graduate Studies
  • Louisiana State University (B.A., 1984)

Bar Admissions

  • Louisiana, 1990

Presentations

  • "Recent Developments Including the Corporate Transparency Act, State and Local Taxes, Crypto Security and Other Matters," Liskow's 2022 CPA Seminar, October 19, 2022
  • “COVID-19 Economic Assistance – Is There Any Left and Do I have to Pay it Back”, Society of Louisiana Certified Public Accountants, 2020 Business & Industry Conference, August 13, 2020
  •  “Contemporary Issues in Unprofessionalism”, LSU Law Center Recent Developments in Legislation & Jurisprudence, December 13, 2019
  • “The Legacy of the Brennan’s and the Ethics of Negotiations”, SoFAB Institute Farm to Table Conference, November 7, 2014
  • “Using Common Technology in your Practice”, Louisiana State Bar Association Summer School 2013, June 6, 2013
  • “Investments and Brokerage Disputes,” 2009 Litigation Services Workshop, Society of Louisiana CPAs, November 5, 2009
  • “The Essentials Of Securities Litigation,” Louisiana State Bar Association, October 23, 2009
  • “Customer Relations from the Legal Side,” for Regional Broker-Dealer Training Seminar, June 2004
  • “Accounting Fraud and the Department of Justice Scoreboard,” Louisiana Society of CPAs, New Orleans Chapter, Industry Luncheon, March 2004
  • “Legal Protections for Louisiana CPAs and Summary of Recent SEC Accounting Fraud Cases,” New Orleans Bar Association, December 2003
  • “Legal Issues for Industry CPAs,” Louisiana Business and Industry Conference, August 2003
  • “Securities Issues for Small Business,” New Orleans Bar Association, December 2002
  • “Broker-Customer Disputes,” Last Chance Seminar, New Orleans Bar Association, December 2001
  • “Broker-Customer Disputes,” New Orleans Bar Association, October 2001
  • “Practicing Across State Lines, Unexpected Pitfalls of Multi-Jurisdictional Practice,” New Orleans Bar Association, November 2000
  • “Investor Rights and Remedies, It’s the Law,” New Orleans Bar Association, October 2000
  • “The Accidental Advisor: The Ins and Outs of the Regulation of Accountants as Investment Advisors in Louisiana,” Louisiana Society of CPAs, Estate and Financial Planning Cluster, 1998

Publications

  • "Changes to PPP Loans by the Paycheck Protection Program (PPP) Flexibility Act of 2020," Liskow's The Energy Law Blog, June 9, 2020
  • "Applying for Loan Forgiveness under the Paycheck Protection Program (PPP)," Liskow's The Energy Law Blog, May 19, 2020
  • "Main Street Lending Programs," Liskow's The Energy Law Blog, April 20, 2020
  • "COVID-19 Lending Resources," Liskow's The Energy Law Blog, April 8, 2020
  • "Emerging on the Other Side of the Coronavirus Pandemic: Raising Structured Capital for Small and Mid-Size Businesses," Liskow's The Energy Law Blog, April 7, 2020
  • "Applying for a Loan under the Paycheck Protection Program (PPP)," Liskow's The Energy Law Blog, April 3, 2020
  • "COVID-19 Federal Legislative Response," Liskow's The Energy Law Blog, March 31, 2020
  • "SEC Gives Advisers Additional COVID-19 Regulatory Relief," Liskow's The Energy Law Blog, March 26, 2020
  • "SEC Gives Advisers COVID-19 Regulatory Relief," Liskow's The Energy Law Blog, March 17, 2020
  • "2020 Louisiana Investment Adviser Update," Liskow's The Energy Law Blog, January 17, 2020
  • "Louisiana Investment Adviser Update: Top 10 Advisers in Louisiana - SEC Issues New Proxy Guidance for Advisers," Liskow's The Energy Law Blog, October 22, 2019
  • "Latest Guidance on Fiduciary Duties," Liskow's The Energy Law Blog, June 13, 2019
  • "2019 Louisiana Investment Adviser Update," Liskow's The Energy Law Blog, January 16, 2019
  • "Some Thoughts on Registration of CPA’s as Solicitors," Liskow's The Energy Law Blog, November 27, 2018
  • "Fifth Circuit Throws Out DOL Fiduciary Rule," Liskow's The Energy Law Blog, March 23, 2018
  • "Extension of DOL Fiduciary Rule is Official and some Guidelines for Documenting Rollovers," Liskow's The Energy Law Blog, December 4, 2017
  • "SEC Publishes New Guidance on Investment Adviser Advertising," Liskow's The Energy Law Blog, September 15, 2017
  • "DOL May Delay Implementation of Fiduciary Rule," Liskow's The Energy Law Blog, August 15, 2017
  • "SEC Cybersecurity Alert," Liskow's The Energy Law Blog, August 10, 2017
  • "SEC Issues Two Updates Dealing With Business Continuity Plans," Liskow E-Newsletter
  • "A Bull Market for Investor Claims:  Disputes between Customers and Brokers/Brokerage Firms," (with George Denegre, Jr.), 49 La. B.J. 283 (2001-2002)
  • "Recent Developments Affecting Louisiana’s Discretionary Function Exception: Will Louisiana Follow Gaubert?," (with James A. Brown), 53 La. L. Rev. 1487 (1993)
  • "Anti-Takeover Statutes, Shareholders, Stakeholders and Risk," 51 La. L. Rev. 562 (1991)
  • "Butler v. Baber: Absolute Liability for Environmental Hazards," 49 La. L. Rev. 1139 (1989)

After Hours

"You're most likely to find me outdoors: biking, hiking, playing tennis or paddle boarding.  Traveling is one of my favorite pastimes - recently Spain, Portugal, Greece, Turkey and France. I enjoy cooking, entertaining, sports (Pelicans, Saints, LSU) and live music."

WHAT’S TRENDING WITH John

  • News
    08.18.22
    85 Liskow Lawyers Recognized in The Best Lawyers in America© (BL Rankings) 2023
    4 minute read
  • News
    01.12.22
    Forty-Eight Liskow Lawyers Selected to 2022 Louisiana Super Lawyers and Rising Stars, Thomson Reuters
    less than a minute
  • News
    08.19.21
    74 Lawyers Recognized in The Best Lawyers in America 2022 Edition
    3 minute read
  • News
    01.04.21
    Forty-One Liskow Lawyers Selected to 2021 Louisiana Super Lawyers, Thomson Reuters
    less than a minute
  • News
    08.20.20
    Sixty-Two Attorneys Recognized in The Best Lawyers in America, BL Rankings, LLC, 2021 Edition
    3 minute read
  • News
    12.19.19
    Forty-Six Liskow Lawyers Selected to 2020 Louisiana Super Lawyers, Thomson Reuters
    less than a minute
  • News
    11.07.19
    Forty-Two New Orleans Liskow Lawyers Named “Top Lawyer” by New Orleans Magazine
    2 minute read
  • News
    08.15.19
    Fifty-Seven Attorneys Recognized in The Best Lawyers in America, BL Rankings, LLC, 2020 Edition
    3 minute read
  • News
    12.27.18
    Thirty-Nine Liskow Lawyers Selected to 2019 Louisiana Super Lawyers, Thomson Reuters
    less than a minute
  • News
    11.09.18
    Thirty-Eight New Orleans Liskow Lawyers Named “Top Lawyer” by New Orleans Magazine
    2 minute read
View All
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