John P. Quinn
John has substantial experience providing legal and compliance services to registered investment companies, investment advisers, broker-dealers, securities industry professionals and insurance agencies. He assists his clients in registering with federal and state regulatory authorities, and complying with all applicable federal and state securities and financial services laws. John has also successfully represented financial services clients before the federal and state courts, the United States Securities & Exchange Commission, the Financial Industry Regulatory Authority, state regulatory authorities and FINRA arbitration panels.
As the former Director of the Pennsylvania Securities Commission's Division of Corporation Finance, John and his staff applied federal and state securities laws to ensure that financial services professionals registered in Pennsylvania complied with all applicable regulations. John was also the Chair of the North American Securities Administrators Association's Corporate Accountability Project Group, which regularly issues recommendations to state and federal securities regulators on corporate governance laws and policies.
Prior to joining the Pennsylvania Securities Commission, John was in private practice with several law firms, where he regularly defended individuals and entities in complex professional malpractice, securities and commercial litigation matters before federal and state courts. John also counseled clients on securities and antitrust compliance.
John graduated magna cum laude from Villanova University in 1994, and graduated with high honors from George Washington University Law School in 1997. John is admitted to practice in Pennsylvania, Virginia and the District of Columbia.
Reconciling SEC and FINRA Examinations in Complex Products and Business Practices, Independent Broker-Dealer Consortium Annual Conference, October 2018
How to Incorporate Personal Financial Planning Services into Your Practice, Pennsylvania Institute for CPAs (webcast), January 2018
Reducing Regulatory Exposure: Properly Preparing for FINRA and SEC Regulatory Examination, Independent Broker-Dealer Consortium Annual Conference, September 2017
Department of Labor Fiduciary Rule, Delaware County Estate Planning Council, September 2017
Financial Industry Trends Update 2017, Chubb Insurance Financial Lines, September 2017
"Notable Securities Class Action Rulings From the Third Circuit in 2018," Pennsylvania Law Weekly, February 12, 2019
Case Law Alerts, regular contributor, January 2018-present