John T. Carr represents financial services professionals to limit, defend and/or deflect liability in regulatory investigations, enforcement actions, arbitrations and court cases pending before Oregon Circuit Courts, Washington Superior Courts, and the United States District Courts for the District of Oregon and the Western District of Washington. Mr. Carr is known as one of the preeminent legal advisors to financial advisors, having represented hundreds of industry clients over multiple decades.
He is experienced in defending clients before federal and professional regulatory agencies across the U.S. and the Pacific Northwest, including but not limited to:
• U.S. Securities and Exchange Commission (SEC)
• Financial Industry Regulatory Authority (FINRA)
• Oregon Division of Financial Regulation (DFR)
• Washington Department of Financial Institutions (DFI)
• Washington State Insurance Commissioner
• Idaho Department of Finance, Securities Bureau
• Certified Financial Planner (CFP) Board of Standards, Inc.
• U.S. Department of Labor (DOL)
Mr. Carr has also defended countless insurance defense claims involving errors and omissions (E&O) and commercial general liability (CGL) policies for insureds within the financial services industry are an area of focus. As such, Mr. Carr has a keen eye to help clients acquire, maintain, and defend registrations with the SEC, FINRA, and state regulatory bodies.
Mr. Carr’s additional practice areas include licensing, mergers and acquisitions, professional discipline, regulatory violations, audit compliance, entity formation, and corporate re-structuring.
He is a former intern to the late U.S. Senator Mark O. Hatfield.
Willamette University College of Law (J.D. & Dispute Resolution Certificate, 1991)
Pacific Lutheran University (B.A., Political Science, 1987)
United States District Court for the District of Oregon
United States District Court for the Western District of Washington
United States Court of Appeals for the Ninth Circuit
PROFESSIONAL ACTIVITIES AND COMMUNITY SERVICE EXPERIENCE
Oregon State Bar, Securities and Business Sections, Member
Washington State Bar Association, Member
Multnomah County Bar Association, Member
Federal Judicial Selection Committee, Appointed by Senators Wyden and Merkley
Investment Adviser Association, Member
Financial Planning Association, Oregon and Southwest Washington Chapters
Government and Regulatory Affairs Sections, Former Director
National Government Relations Committee, Former Member
State Board of Licensed Clinical Social Workers, Former Member
Appointed by Governor Kitzhaber
Pacific Lutheran University, Alumni Board Former Member
Youth basketball and soccer coach