John Hewson Email & Phone Number

New York, New York, Us

Washington, District Of Columbia, Us

- Investigate and prosecute member firms and registered representatives for violations of FINRA/SRO rules and federal securities laws and regulations. Heavy emphasis on memorandum drafting, testimony taking and client relations.- Manage varied docket of equities, options and fixed income trading and exam-related cases involving best execution, direct market access, Reg SCI, Reg NMS, market manipulation, trade reporting, disclosures and supervision.- Negotiate and resolve matters on behalf of FINRA and client SROs. - Counsel FINRA staff in connection with on-going investigations.

Washington, District Of Columbia, Us

Washington, District Of Columbia, Us

-Traded mixed portfolio of options on equities and ETF's with emphasis on volatility, skew and calendar trading.- aided in revamping firm's operations which delivered significant reduction in fixed and transactional costs- Managed, developed and maintained Broker Dealer's compliance policies and procedures pursuant to relevant SRO and SEC rules and regulations. Handled responses to regulatory inquiries, exams, tests and data production requests.

-Traded firm’s proprietary capital with an emphasis on volatility, skew, calendar and interest rate trading while maintaining tight risk management.- Managed a team of 6 partners at Broker Dealer in the making of options markets in single stock and ETF options on CBOE, NYSE AMEX, NASDAQ PHLX and BATS with average annual revenue of $5M.- Worked closely with firm’s software developer to build a proprietary market-making system, which was eventually sold to another market making firm- Delivered 35% reduction in operational costs via: negotiated transactional rates with clearing bank; contracted software solutions for equity hedge trading; in-house development of proprietary market maker software; in-house development of risk software; and in-house networking solution.- Managed, developed and maintained Broker Dealer's compliance policies and procedures pursuant to relevant SRO and SEC rules and regulations. Handled responses to regulatory inquiries, exams, tests and data production requests.

Chicago, Illinois, Us

-Made markets in single stock and ETF options as a remote Specialist on NASDAQ PHLX, as a remote LMM on ARCA, and as a remote market maker on ISE and CBOE.-Traded firm’s proprietary capital with an emphasis on volatility, skew, special situation and calendar trading while maintaining tight risk management. Handled an average daily haircut of $6M from 2008-2009 with average net return of 73%..-Managed the development of junior traders on a team of 5-8 traders with average daily haircut of $15M with average net return of 50%. Team ranked as firm’s 2d most profitable in 2008-2009..-Trader of the Year, East Coast, 2009; top ranked PnL in office 2008, 2009.

New York, Ny, Us

- Defended New York City officials and agencies in civil litigation in federal and state courts as well as administrative proceedings. Agencies included the Department of Education, Human Resources Administration, Department of Corrections and NYPD.- Briefed and argued dozens of motions to dismiss, pre-trial motions and summary judgment motions in federal and state court. Responsible for executing all pre-trial tasks including depositions, interrogatories and in limine motions.- Negotiated multiple class action and individual action settlements. Worked with general counsel and senior officials of New York City agencies to defend actions as well as to implement negotiated resolutions.- Defended New York City officials at trial in federal and state court.- Rookie of the Year, 2004; Division Chief Award winner, 2005.

New York, Ny, Us

- Assisted experienced attorneys in pre-trial litigation including: preparing for depositions, preparing interrogatories, responding to interrogatories, brief writing, legal memo writing.

Chicago, Illinois, Us

- American Stock Exchange Specialist - made markets in single stock options and managed a post of 4 specialists and 6 assistant trader- Head Trainer of classes of 4-10 trader trainees, 1995-1999

J.D.

B.A., Political Science

Education record