John has substantial experience providing legal and compliance
services to
registered investment companies, investment advisers,
broker-dealers, securities
industry professionals and insurance agencies. He assists his
clients in complying
with all applicable federal and state securities and financial
services laws. John
also defends clients before administrative proceedings,
arbitration panels and
courts.
As the former Director of the Pennsylvania Securities Commission's
Division of
Corporation Finance, John and his staff applied Pennsylvania's
blue sky laws as
well as federal securities laws to ensure that each offering
complied with all
applicable regulations. John was also the Chair of the North
American Securities
Administrators Association's Corporate Accountability Project
Group, which
regularly issues recommendations to state securities regulators on
corporate
governance laws and policies.
Prior to joining the Pennsylvania Securities Commission, John was
in private
practice with several law firms, where he regularly defended
individuals and
entities in complex professional malpractice, securities and
commercial litigation
matters before federal and state courts. John also counseled
clients on securities
and antitrust compliance.
John graduated