With nearly two decades of experience, John is a trusted adviser to retail broker-dealers of securities. On a national basis, John has managed a wide range of matters, including sensitive internal reviews, high profile regulatory investigations by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state regulators, complex FINRA Rule 4530 and U4/U5 disclosure issues, and contentious litigation and arbitration proceedings. John's unique experience gives his clients the value of his perspective, enabling them to make informed strategic decisions. John works efficiently, concisely delivering usable advice to his clients.