About Us

He regularly assists his clients in registering with federal and state regulatory authorities, establishing private pools and investment vehicles, purchasing and selling financial services businesses, complying with applicable federal and state securities and investment advisory laws, and managing risk associated with the financial services industry. John has also successfully represented clients before federal and state courts, the United States Securities & Exchange Commission, the Financial Industry Regulatory Authority (“FINRA”), state regulatory authorities and FINRA arbitration panels.

As the former Director of the Pennsylvania Securities Commission's Division of Corporation Finance, John and his staff applied federal and state securities laws to ensure that financial services professionals registered in Pennsylvania 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 and federal securities regulators on corporate governance laws and policies.

John graduated magna cum laude from Villanova University in 1994, and graduated with high honors from George Washington University Law School in 1997. John is admitted to practice in Pennsylvania, Virginia and the District of Columbia.