Quinn Law Group

Specialties

Offering legal and compliance services to investment advisers, broker-​dealers, and insurance producers. The Quinn Law Group provides representation to financial services firms and professionals, assisting clients in complying with federal and state securities and insurance laws, such as the 1933 and 1934 Acts, the Investment Advisers Act of 1940, the Investment Company Act of 1940, SEC regulations, FINRA codes, and state blue sky and insurance laws and regulations. Quinn Law Group further represents clients in financial services-​related litigation or arbitration before federal and state courts, industry arbitration panels, and agency administrative tribunals.

History

Established in 2014.

Located in Philadelphia, Pennsylvania, the Quinn Law Group offers legal representation and compliance services to financial services firms and professionals, including registered investment advisers (RIAs), investment companies (mutual funds and exchange-​traded funds), broker-​dealers, licensed securities agents and insurance producers. Specifically, Quinn Law Group assists clients in complying with federal and state securities and insurance laws, such as the 1933 and 1934 Acts, the Investment Advisers Act of 1940, the Investment Company Act of 1940, FINRA codes, SEC regulations, or state securities (blue sky) and insurance statutes. Quinn Law Group further provides litigation and arbitration services, representing financial firms and professionals in response to litigation and arbitration matters before courts, arbitration panels and administrative tribunals.

Meet the Business Owner

John Q.

Business Owner

John Quinn has 15 years of securities regulation and litigation experience. In private practice, Mr. Quinn has successfully represented broker-​dealers, registered investment advisers, securities professionals, and insurance agents in litigation, arbitration, regulatory and compliance matters. Mr. Quinn has appeared before federal and state courts, agencies and arbitration panels. As the former Director of Corporation Finance for the PA Department of Banking and Securities, Mr. Quinn was responsible for the registration of securities sold in Pennsylvania. Mr. Quinn also testified on securities matters before the Pennsylvania Legislature relating to several legislative initiatives and was a lecturer on securities issues at national regulatory and compliance conferences. Mr. Quinn graduated magna cum laude from Villanova University (B.S., International Business) and with high honors from the George Washington University’s National Law Center (Juris Doctor).