Jonathan M. Prytherch

While serving as an attorney with FINRA’s Department of Enforcement, Jonathan counseled FINRA staff on developing investigations and examinations concerning potential violations of the federal securities laws and FINRA rules. His work at FINRA covered a broad range of the regulatory spectrum including areas such as sales-practice, supervision, record-keeping, operations, and anti-money laundering. At FINRA, he was also responsible for bringing disciplinary actions against member firms and their associated persons through negotiated settlements, litigated proceedings before FINRA’s Office of Hearing Officers, and in appeals before FINRA’s National Adjudicatory Council.

Jonathan subsequently served as in-house counsel for a large independent model securities broker-dealer, where his responsibilities were focused on defense strategy and response regarding regulatory inquiries and enforcement matters, risk mitigation through regulatory counseling on compliance matters and controls, and the direction of internal investigations.

At MVA, Jonathan has counseled clients on regulatory responses, provided investigative testimony defense, and advised on regulatory requirements for compliance controls and reviews. He has also authored articles on FINRA initiatives and the regulation of digital assets.

*Licensed in New York and New Jersey. Not licensed in North Carolina.

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