John E. Lawlor, Esq. is an attorney whose practice is limited to securities litigation and securities arbitration, NASD and NYSE 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. He is admitted to practice in New York State Courts, the U.S. District Courts for the Southern and Eastern Districts of New York, the Second Circuit U.S. 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; prosecution and defense of litigation 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 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 Nassau County, Suffolk County and New York State Bar Associations. He is fluent in Spanish and English.