Jon is an experienced litigator, having worked on over 1,000 securities-related matters. He has successfully represented individual and corporate clients in civil actions in state and federal court (at the trial and appellate level), regulatory investigations, arbitrations, and private mediations around the country. He has handled a wide range of matters including: (i) stockbroker misconduct and investment fraud disputes (including claims involving unsuitability, churning, unauthorized trading, failure to execute trades, failure to hedge, selling away, theft, research analyst conflicts of interest, fraud, negligence, breach of fiduciary duty, breach of contract, violations of state and federal securities laws, and violations of securities industry rules and regulations); (ii) Ponzi scheme disputes; (iii) class actions; (iv) SIPC and SEC receiverships (including clawback claims); (v) employment matters (including harassment, discrimination, wrongful termination, and promissory note claims); (vi) registration issues (including Form U-4 and Form U-5 expungement matters and civil and regulatory claims involving failure to register securities, brokers, broker-dealers, and branch offices); and (vii) raiding cases. Jon has authored numerous articles on FINRA's rules, securities laws, and securities arbitration and is considered to be an authority on these subjects. Jon also regularly participates at national seminars and conferences on the topics of securities fraud, investment disputes, and current developments in securities laws and industry rules and regulations.
This lawyer has chosen not to display review(s) provided by their peers.