Partner
Indianapolis, IN
John is an experienced attorney with a combination of expertise in the areas of federal securities laws, investment adviser and broker-dealer regulation, compliance services (including providing named-CCO services), mutual funds, intellectual property, insurance, privacy and cybersecurity. Over the past 27 years, John has built extensive knowledge in the Securities Act of 1933, the Securities Exchange Act of 1934, Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Series 6, 7, 24 and 26 securities licenses with FINRA
“You’re going to need a bigger boat!”
Younger Next Year by Chris Crowley
“Hey Jude” by The Beatles
The Godfather
Portugal
Steak
Salvatore Dali
If I weren’t a lawyer, I would be a computer programmer.
Series 6, 7, 24 and 26 securities licenses with FINRA
John is an experienced attorney with a combination of expertise in the areas of federal securities laws, investment adviser and broker-dealer regulation, compliance services (including providing named-CCO services), mutual funds, intellectual property, insurance, privacy and cybersecurity. Over the past 27 years, John has built extensive knowledge in the Securities Act of 1933, the Securities Exchange Act of 1934, Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Series 6, 7, 24 and 26 securities licenses with FINRA
John has served as chief compliance officer and legal counsel for various investment advisers, broker-dealers, mutual fund series trusts, mutual fund service providers and insurance companies including Ultimus Fund Solution and OneAmerica.
Mutual Funds, Investment Advisers, Broker-Dealers, Compliance, federal securities law, CCO services, intellectual property, insurance, privacy and cybersecurity, Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940, Investment Advisers Act of 1940
At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.
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