During his tenure at the SEC, John worked on multiple investigations and litigations spanning a wide range of substantive issues that arise in enforcement matters, including insider trading, the obligations of asset managers under the Investment Advisers Act and Investment Company Act, regulation of complex structured financial products and broker-dealer regulation. Some of the more significant of these matters involved: alleged misrepresentations in the marketing and pricing of credit default swaps by a major investment bank and collateral manager; a complex alleged market manipulation scheme involving numerous individuals in several countries in the shares of multiple issuers; alleged offering fraud by a broker-dealer and related individuals in connection with the sale of shares in a factoring fund; alleged fraudulent cherry-picking of stock trades by a registered representative; and alleged insider trading and false Form 13D filings by an investor in a public company in an attempt to conceal the extent of his beneficial ownership.
At Foley Hoag, John has represented public companies, investment advisers and individuals in investigations by the SEC, U.S. Department of Justice and FINRA; counseled investment advisers in connection with SEC examinations; conducted corporate internal investigations; provided compliance training to clients on the federal securities and anti-corruption laws; and handled commercial disputes on behalf of corporate clients.
In the field of international development, John has considerable experience in legal issues relevant to the developing world, with a particular emphasis on anti-bribery and anti-corruption. As a former program director for an international non-governmental organization, he managed programs providing pro bono legal representation to governments, civil society organizations and individuals in the developing world. In that role, John supervised and coordinated legal advice to civil society clients in Myanmar, Kenya, Zimbabwe, Peru, Ecuador, Bolivia, Ukraine and Papua New Guinea and to the government of Mozambique on matters involving anticorruption/antibribery, business and human rights, infrastructure projects, oil and gas and mining development, land use and land tenure, and environmental issues.
John previously served as a law clerk to The Honorable Colleen McMahon, U.S. District Court for the Southern District Court of New York.