John Kelly is a partner in the Business Litigation Practice Group at McCarter & English. He regularly represents companies, institutions, municipalities and individuals with respect to all manner of securities matters, including independent investigations of alleged financial impropriety, financial reporting and accounting claims, claims relating to structured and complex financial products, defending regulatory actions and responding to regulatory investigations, and counseling on regulatory compliance and reporting issues.
John regularly represents broker-dealers, investment advisers and registered individuals in securities litigation, enforcement and compliance matters. He has extensive experience in the litigation, arbitration and mediation of securities matters throughout the country. During a time of increased governmental investigations, enforcement proceedings and disciplinary actions, clients rely on John’s experience appearing before the Securities and Exchange Commission (SEC), U.S. Attorneys’ Offices, the Financial Industry Regulatory Authority (FINRA), state regulatory agencies and various certification boards. He helps clients maintain compliance by educating them on the ever-changing regulatory landscape and advising them on internal regulatory audits, company policies and codes of ethics.