For more than 20 years, John has been representing directors and officers, financial services professionals, lawyers and accountants and their related business entities in federal, state and regulatory matters. He has counseled clients to establish cyber policies and procedures to avoid incidents and provided counsel on the proper handling of breaches should there be an occurrence.
John works closely with his clients to understand how their legal matter impacts their business and maintains open communications to keep clients informed of their legal options, their risks and any potential rewards.
John is a former chief litigation counsel for a national financial services company and managed litigation portfolios for a four broker-dealer subsidiary and their independent contractor registered representatives. He gained extensive legal experience representing large corporate clients, small startup businesses and non-profit organizations. John has substantial experience with lawsuits and regulatory actions involving financial products, ERISA-based financial claims, professional malpractice claims and claims premised upon allegations of fraud and/or breach of fiduciary duty. In addition to handling cases in federal and state courts, John represents individual business owner clients’ interests before the SEC, FINRA, CFPH and other regulatory agencies.
- Obtained defense verdict in a jury trial in the United States District Court for the Middle District of Georgia for a regional bank against claims of misrepresentation made by an insurance company
- Obtained a not guilty verdict for a registered investment advisor representative and business owner in a state law criminal trial against charges of fraud and theft by deception
- Represented a franchisor in 12 AAA arbitrations initiated by franchisors alleging fraudulent and negligent misrepresentation; obtained defense awards or favorable outcomes in each case and obtained $1.9 million award on franchisor’s counterclaim in one arbitration
- Represented a chief compliance officer in regulatory enforcement investigation conducted by FINRA
- Represented a registered representative of a broker-dealer in an insider trading investigation by the Securities and Exchange Commission
- Represented multiple ERISA fiduciaries in claims alleging breach of their fiduciary duties and/or engaging in prohibited transactions
- Represented a broker-dealer and its registered representative in multi-faceted litigation involving a denial of class certification of a federal class action lawsuit, 60 FINRA arbitrations and related regulatory inquiries from the SEC and FINRA