Bio

John Faust advises investment companies, investment advisers, private funds, broker-dealers, and other financial services clients concerning regulatory issues. John also advises clients relating to the collateral consequences associated with proceedings with the U.S. Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Department of Justice (DOJ), state regulators and others, including seeking and obtaining waivers from the SEC and Financial Industry Regulatory Authority (FINRA). Prior to joining private practice in 2005, John was Senior Counsel at the SEC in the Division of Investment Management.