John C. Swhear

John C. Swhear

Partner
Indianapolis, IN
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  • BIOGRAPHY
  • EXPERTISE
  • BLOG/PRESS/MEDIA

ABOUT

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.

ADMISSIONS

  • Indiana 1994

LANGUAGE

  • English

EDUCATION

Indiana University School of Law
J.D
University of California – Los Angeles
B.A. in Political Science

AWARDS

Series 6, 7, 24 and 26 securities licenses with FINRA


FUN FACTS

FAVORITE QUOTE

Favorite Quote

“You’re going to need a bigger boat!” 

Chief Brody (Roy Scheider), Jaws
  • Favorite Book
    Favorite Book

    Younger Next Year by Chris Crowley

  • Favorite Song
    Favorite Song

    “Hey Jude” by The Beatles

  • Favorite Movie
    Favorite Movie

    The Godfather

  • Favorite Vacation
    Favorite Vacation

    Portugal

  • Favorite Meal
    Favorite Meal

    Steak

  • Favorite Artist
    Favorite Artist

    Salvatore Dali

ALTERNATE CAREER PATH

Alternate Carrer Path

If I weren’t a lawyer, I would be a computer programmer.

ADMISSIONS

  • Indiana 1994

LANGUAGE

  • English

EDUCATION

Indiana University School of Law
J.D
University of California – Los Angeles
B.A. in Political Science

AWARDS

Series 6, 7, 24 and 26 securities licenses with FINRA

RELEVANT EXPERIENCE

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.

John’s areas of expertise include:

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

 

CONNECT WITH ME

At Practus, we handle complex and challenging legal matters. I look forward to talking to you about how we can best meet your goals.

CONTACT ME
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