Jon has spent his entire legal career practicing securities. He handled over 1,000 securities matters and has successfully represented some of the most demanding clients in multi-million-dollar disputes throughout Florida and United States. He has represented individual and corporate clients in civil actions in state and federal court (at the trial and appellate level); in regulatory investigations; in arbitrations; and in private mediations.
Jon 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 schemes; (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 expungement matters); (vii) raiding claims; (viii) internal investigations; (ix) regulatory investigations; and (x) non-investment-related, commercial disputes.
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.