Partner, Schulte Roth & Zabel

Represents private equity funds, hedge funds, broker-dealers, corporations, boards of directors and their principals and executives in internal investigations, government inquiries (by the SEC, DOJ, FINRA, CFTC and others) and bet-the-company litigation involving allegations of fraud, accounting disclosures, sales practice abuse, securities violations, conflicts of interest, related party transactions and violations of the Foreign Corrupt Practices Act (FCPA).

John also provides advice to investment advisers related to trading compliance, insider trading, examination concerns, and thorny disclosure issues, and John regularly counsels public and private companies on compliance procedures, enforcement response initiatives and proactive strategies designed to mitigate legal, regulatory and reputational risks.

He defends large-scale investigations of white collar and securities crimes in multiple domestic and foreign jurisdictions, has 22 federal white collar and securities trials, and has argued more than a dozen cases before the Court of Appeals for the Second Circuit.

His significant representations have included a vast array of issues, including false or misleading disclosure allegations, insider trading, best execution, PIPE financings, breaches of fiduciary duties, adviser conflicts of interest, and accounting fraud.

John also has unique experience as a supervisor with the government, having previously served as the Deputy Chief of the Business and Securities Fraud Section of the US Attorney’s Office for the Eastern District of New York and as a Branch Chief in the Enforcement Division of the US Securities and Exchange Commission.