John Arthur Bender Jr.

For more than 35 years, my practice has focused on resolving challenging securities, franchise, banking and other complex civil cases on behalf of businesses and individuals.

Securities Fraud, Enforcement, Regulatory and Broker-Dealer Defense

Investors, broker-dealers, investment bankers, advisers, and registered representatives seek my representation in regulatory investigations and disciplinary actions brought by the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA and NYSE), the New York Stock Exchange and the State of Washington Securities Division, including presenting Wells submissions and Central Registration Depository expungement requests.  I often handle the prosecution and defense of customer claims against investment advisors, broker-dealers and registered representatives. These matters involve claims of unsuitability, churning, breach of fiduciary duty, fraud and misrepresentation, particularly before FINRA Dispute Resolution.

I was FINRA’s appointed arbitrator and mediator trainer for the Seattle panel of FINRA arbitrators from 1993-2003. In that capacity, I trained hundreds of arbitrators and mediators around the country. A substantial portion of my practice has been as a FINRA, National Futures Association and NYSE arbitrator and mediator.

Broker Recruitment Litigation

I frequently prosecute noncompetition, non-solicitation and trade secrets disputes for broker-dealers and registered representatives.

Securities and Complex Civil Litigation

I have considerable additional securities litigation experience in the areas of shareholder derivative action, directors’ and officers’ liability, insider trading, corporate governance and internal investigations, mortgage-backed securities and stock option disputes.

Franchising and Related Disputes

I represent franchisors advising on business, regulatory and growth strategies, and defend franchisors in regulatory investigations and lawsuits. I advise franchisees on their rights and defend them in franchise termination matters.