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The nature of Jonathan's practice consists of the prosecution and defense of claims related to securities matters, including arbitration and mediation and civil litigation.Jon also serves as counsel to broker-dealers and associated persons before regulatory agencies that oversee the brokerage industry, including the SEC, NYSE, NASD, CFTC and state securities agencies.Additionally, Jon counsels clients with regard to compliance issues, including the creation of and introduction of compliance policies and procedures on behalf of broker-dealers. He represents corporations and individuals in connection with certain employment related disputes, principally involving non-compete agreements and the enforcement of provisions relating to promissory notes. Jon was previously general counsel of Wheat First Securities Inc. (now Wachovia Securities) and director of compliance and associate general counsel for RBC Dain Rauscher Inc.His experience also includes serving as senior legal counsel for Merrill Lynch, as an attorney in the SEC's Division of Enforcement in New York, and as an assistant district attorney in New York City. | 