In his role as in-house counsel, Jonathan’s practice focused on regulatory defense with respect to FINRA, SEC and state inquiry and enforcement matters. He also directed internal investigations and provided regulatory legal advice with respect to the firm’s business.
Jonathan began his career as an attorney with FINRA’s Department of Enforcement. In that capacity, he counseled FINRA staff on developing investigations involving FINRA, SEC and MSRB rules, as well as the federal securities laws in areas such as sales-practice, supervision, record-keeping, operations, and anti-money laundering. He was also responsible for litigating the formal disciplinary actions resulting from those investigations, at the FINRA Office of Hearing Officers level, through appeals heard by FINRA’s National Adjudicatory Council.
*Licensed in New York and New Jersey. Not licensed in North Carolina.
J.D., Brooklyn Law School, 2001
B.A., Rowan College of New Jersey, 1994
- New Jersey, 2001
- New York, 2002
- *Licensed in New York and New Jersey. Not licensed in North Carolina.