Jack offers clients more than four decades of experience handling complex securities regulatory matters and securities and commercial litigation, arbitration, and mediation. He has a depth of experience at both the Federal and State levels, including litigation securities disputes and proceedings; broker-dealer and investment advisory matters; and issues involving securities fraud, market timing, insider trading, and white collar criminal defense cases. He represents corporations and their officers, directors, and employees in commercial litigation as well as enforcement proceedings brought by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state regulators.
Having worked in both the public and private sectors, Jack’s clients rely on his ability to minimize their exposure while achieving the result they need. Previously in his career, Jack served as a trial attorney with the U.S. SEC, Denver Regional Office. He also headed a securities prosecution unit of the Joint Manhattan Strike Force for the U.S. Department of Justice, Organized Crime, and Racketeering Section in the Southern District of New York. Based on those roles, Jack has particular skill representing clients in securities litigation, insider trading matters, and complex commercial cases. He also excels at working with brokers in the financial services sector on regulatory issues, employment cases, and contract disputes with dealer companies.
In addition to Jack’s extensive knowledge of securities law, he also understands the demands of in-house counsel as he previously served as General Counsel of Boettcher & Company, a New York Stock Exchange member, broker-dealer firm formerly based in Denver.