John focuses his practice on providing a full suite of legal and compliance services to investment management firms and other financial services companies, as well as corresponding services to investors in various financial products.
Representative Services
- Provide in-house counsel and compliance officer guidance
- Structure and form private investment funds (including limited partnership agreements, offering memoranda, investment management agreements and side letters)
- Negotiate investment management agreements for separately managed accounts
- Create compliance policies and procedures for investment advisers
- Assist SEC-registered investment advisers with Division of Examination inspections
- Assist with managers and investors with legal, compliance and operational due diligence
- Provide support to trading desks respecting securities law questions, trade settlement and trade restrictions
- Review terms and negotiate documents for investment in alternative strategies
Prior to joining Maynard Cooper, John served in multiple in-house legal and compliance positions in Alabama, New York and Connecticut, including serving as the General Counsel and Chief Compliance Officer of a hedge fund management firm in New York and Vice President and Deputy General Counsel of a financial services firm with offices in New York, Hartford, Los Angeles and London. In those roles, John supported multiple investment strategies, including distressed investment, special situations and collateralized loan obligation (CLO) strategies.
John has published articles in The Alabama Lawyer, The Hedge Fund Law Journal, The Hedge Fund Law Report and the B.Y.U. Education & Law Journal and was interviewed for Modern Counsel Magazine. He has also spoken at several industry conferences in New York, Washington, D.C., Greenwich (CT), Palm Beach (FL) and the Cayman Islands sponsored by the Regulatory Compliance Association, Compliance Reporter, Operations for Alternatives, HFM, the National Society of Compliance Professionals, the American Conference Institute and Bloomberg Vault.
John serves on the Harbert Advisory Council for the Harbert College of Business of Auburn University where he and his wife funded the Roth Family Professor of Marketing and Business Ethics. John has taught at the Steinhardt School of Culture, Education and Human Development of New York University, and his doctoral research at NYU focused on ethical decision-making in the investment management industry.