BOSTON – May 15, 2024 – John K. Wells, a Litigation shareholder in global law firm Greenberg Traurig, LLP’s Boston office, presented on the Financial Industry Regulatory Authority (FINRA)’s 2024 Annual Conference panel, “FINRA’s Disciplinary Hearing Process," May 14 in Washington, D.C. Featuring FINRA staff, the panel discussed the broadening awareness about FINRA’s disciplinary hearing process, highlighting distinctions between self-driven hearings and administrative law judge hearings. Wells served as “respondents’ counsel” on the panel and provided an outside perspective on the FINRA hearing process.
Wells focuses his practice in the areas of complex commercial litigation, securities litigation, and regulatory matters. He frequently represents financial services clients, including broker-dealers, investment advisors, banks, and private equity funds, in matters before the Securities and Exchange Commission, Financial Industry Regulatory Authority, U.S. Department of Justice, and state regulatory authorities, as well as in state and federal courts and arbitration forums across the country. Wells has broad experience in a wide variety of litigation matters, including contract disputes, business torts, employment matters, restrictive covenants, securities fraud and securities class actions, multidistrict litigation, shareholder and partnership disputes, products liability, wrongful death, and real estate litigation. He also manages corporate internal investigations across multiple jurisdictions and industries.
FINRA’s Annual Conference provides the opportunity for practitioners, peers, and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers a broad range of topics including regulatory compliance, risk management, crypto asset developments, trends and threats in financial crimes, and the evolution of branch office inspections, among others.