John is an attorney in the Securities Litigation and Arbitration Group. He has over three decades of experience as in-house counsel representing the Broker/Dealer, Branch Managers, Financial Advisors and other Firm employees.
As an Associate General Counsel and Director in the Regulatory Enforcement Group at Smith Barney/Citigroup, he handled many major and sensitive regulatory investigations, including a Department of Justice investigation into an alleged violation of the Americans with Disabilities Act (ADA). That investigation resulted in the development of internal procedures to ensure compliance with the ADA.
John has managed SEC investigations into sales practice issues concerning Mutual Fund Class B shares and Mutual Fund Market Timing. Both matters were resolved with settlements and undertakings by the Firm.
He also managed a major FINRA investigation into sales practices regarding New York State Insurance Regulation 60, which focused on annuity exchanges. After numerous on-the-record interviews, and the production of extensive documentation and information, FINRA closed the matter without taking any action.
In his leisure time, John enjoys playing tennis and platform tennis, as well as spending time with his wife Marilyn, their three adult children and their spouses, and his four grandchildren.