John E. Jenkins

Jack Jenkins is a graduate of Fordham University School of Law (J.D.), and S.U.N.Y. at Stony Brook (B.S. majoring in applied mathematics and economics). Jack’s experience includes years as in-house counsel at UBS and Shearson Lehman Brothers, in addition to representing Financial Advisors and firms as outside counsel.

Jack has been representing financial advisors and their firms for over 25 years, in arbitration, mediation, regulatory inquiries before FINRA, the SEC and state regulators, and court litigation and appeals. He has handled hundreds of cases relating to customer complaints and sales practice matters. They have included equities, municipal and corporate bonds, options, structured products, variable annuities, insurance policies, mutual funds, ETF’s and leveraged and non-traditional ETF’s, managed accounts, margin use and claims of unsuitability, churning, fraud, breach of contract and negligence.

He has also concentrated in recent years on cases involving non-solicit and non-compete agreements, and raiding cases. Those have included court proceeding for Temporary Restraining Orders and FINRA hearings in which the former employer seeks to prevent the Advisor from soliciting the business of clients the advisor