Jon serves as the Milwaukee Office Chair of the firm’s Securities Litigation Team. Jon and his team defend corporations, financial institutions, financial advisors, broker-dealers, and individuals against securities lawsuits in state and federal courts across the country as well as against securities investigations and regulatory actions brought by state and federal securities regulators. Jon and his team have a particular focus on representing brokerage firms in FINRA arbitrations and FINRA enforcement actions, having recently developed a FINRA arbitration platform and web portal to provide efficient, effective representation in FINRA arbitrations throughout the country. Jon is also a member of the Business Law Group in which capacity he counsels corporations, financial institutions, broker-dealers, and financial advisors regarding compliance with state and federal securities laws.
His experience includes:
- Successfully defending corporations, financial advisors, broker-dealers, and individuals against investigations, subpoenas, and enforcement actions brought by the United States Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and state securities regulators.
- Dismissing shareholder class action lawsuits seeking to enjoin corporate mergers and modify related proxy statement disclosures, and, in one recent federal court lawsuit, obtaining sanctions against plaintiffs under the Private Securities Litigation Reform Act.
- Defending financial advisors, broker dealers, and individuals in FINRA and other arbitration proceedings resulting in multiple complete defense verdicts and expungement rulings.
- Successfully defending a hedge fund and representatives thereof against Section 10b-5 and other fraud claims.
- Dismissing a securities lawsuit filed against a hedge fund in New York State Court, blocking plaintiff’s attempt to amend after dismissal, and subsequently dismissing a related lawsuit filed in federal court.
- Dismissing a corporate credit union’s lawsuit alleging common law and constitutional violations, filed against the nation’s largest credit union in the Eastern District of Wisconsin.
- Dismissing a Section 16(b) lawsuit seeking short-swing profits filed against a hedge fund in the Southern District of New York.
- Transferring, then dismissing, a securities lawsuit filed against a hedge fund in the District of New Jersey and the Middle District of Florida.
In addition to his securities work, Jon regularly litigates disputes over noncompete agreements on behalf of corporations, financial advisors, and broker dealers.