John Guild Email & Phone Number

I leverage more than a decade of sophisticated commercial litigation experience and seven years serving as an enforcement attorney for the Financial Industry Regulatory Authority (FINRA) to provide efficient, practical solutions to financial institutions and executives in regulatory investigations or litigation. I also represent clients of all types in high-stakes and complex business disputes.I most recently served as senior counsel in FINRA’s Department of Enforcement. At FINRA, I led investigations into securities law violations and prosecuted formal disciplinary actions against broker-dealer firms and their registered representatives. Among the violations I investigated were:• securities fraud under Section 10(b) of the Securities Exchange Act, SEC Rule 10b-5, or FINRA Rule 2020• misrepresentations in the sale of securities under Sections 11 and 17 of the Securities Act or FINRA Rule 2010 • violations of Regulation Best Interest (Reg BI)• sales of unregistered securities in violation of Section 5 of the Securities Act • violations of the Anti-Money Laundering provisions of Bank Secrecy Act (BSA), violations of FinCEN's Customer Due Diligence Rule (CDD), or failures to develop and implement an AML compliance program reasonably designed to comply with the BSA under FINRA Rule 3310• data privacy issues under the SEC's Regulation S-P • off-channel communications and other records retention violations under Section 17 of the Securities Exchange Act, SEC Rule 17a-4, and FINRA Rule 2210, and FINRA Rule 3110Prior to my time at FINRA, I spent 13 years in private practice as a litigator in a preeminent trial boutique and with a Chambers-rated international law firm, where I honed skills representing clients in a range of high-stakes litigation and represented private parties in investigations by the SEC, DOJ, FTC, and other regulatory agencies. I have tried cases in U.S. District Courts and in Texas state courts involving a wide range of business disputes. I have also argued and briefed in the United States Court of Appeals for the Fifth Circuit and various Texas state courts of appeals.

Listed skills include Appeals, Litigation, Commercial Litigation, Business Litigation, and 9 others.