State University of New York at Stony Brook, B.A., 1981
Catholic University of America, J.D., 1984
New York State Bar Associations.
Securities Litigation and Arbitration; Securities Regulation and Compliance; Commercial Litigation; Business Law
1985, New York and U.S. District Court, Southern and Eastern Districts of New York; U.S. Court of Appeals, Second Circuit; U.S. Supreme Court
John E. Lawlor, Esq. is an attorney whose practice is limited to securities arbitration and litigation; FINRA investigations and enforcement actions, SEC investigations and actions, and state regulatory matters.
A graduate of the State University of New York Stony Brook, Mr. Lawlor received his law degree from the Catholic University of America in 1984. He is admitted to practice in the courts of the State of New York, the U.S. District Courts for the Southern and Eastern Districts of New York, the Second Circuit Court of Appeals and the U.S. Supreme Court.
Mr. Lawlor was formerly in house counsel with a number of brokerage firms where his responsibilities included creation and organization of the broker-dealer, including establishing compliance and operational guidelines for institutional government securities firm and retail equity business; prosecution and defense of a variety of litigated claims; regulatory compliance, including financial reporting and record keeping; broker training with respect to options sales practices and regulations and margin compliance; and has acted underwriter’s counsel with respect to numerous public offerings of securities. Mr. Lawlor has previously held the following securities licenses: Series 4, Series 7, Series 24, Series 27, Series 53, and Series 63.
In addition, Mr. Lawlor has authored a number of chapters and has been a speaker at various Continuing Legal Education Programs designed for attorneys relating to the securities arbitration process including seminars conducted by the New York State Bar Association, Practicing Law Institute and New York County Bar Association. He is a member of the New York State Bar
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