Moore & Van Allen Law Firm, Attorneys
Practice Areas
  • A.B., Stanford University, 1994
  • J.D., New York University School of Law, 1998
  • New York, 1999
  • North Carolina, 2019
100 North Tryon Street
Suite 4700
Charlotte, NC 28202-4003

John S. Han

Counsel
Overview
Representative Matters
News & Events

John Han focuses his practice on regulatory advice, counseling and defense for broker-dealers and investment advisers.

John has represented clients in responding to and defending investigations by the SEC, CFTC, state regulators, and FINRA.

Immediately prior to joining the firm, John served as in-house counsel at LPL Financial, a registered investment adviser and one of the largest broker-dealers in the country.

  • At LPL, John provided regulatory counseling to senior management and advised on all aspects of the firm’s business as custodian for third-party investment advisers.

John spent a decade as an enforcement attorney at FINRA.

  • John investigated and litigated a broad spectrum of financial industry regulatory matters.
  • See, In re Department of Enforcement v. Rani T. Jarkas, Complaint No. 2009017899801 (October 5, 2015)
  • See, In re Department of Enforcement v. Grigsby, No. (December 2, 2014)
  • John provided training to examination and enforcement staff on investigatory techniques, Exchange Act rules, and complex products.

John began his career as a criminal prosecutor at the New York County District Attorney’s Office.

Of Note

Representative Matters

  • Represented a multinational bank in a CFTC investigation into trading practices associated with VIX-related derivatives.
  • Represented a public company in an internal investigation regarding its system of financial controls for SOX compliance.
  • Represented an education provider for licensing examinations in an investigation by a state insurance commissioner.
  • Represented a broker-dealer in a FINRA investigation regarding due diligence and sales practices related to private placements.