PROFESSIONAL EXPERIENCE:
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)
• U.S. Department of Labor (DOL)
• Oregon Division of Financial Regulation (DFR)
• Washington Department of Financial Institutions (DFI)
• Certified Financial Planner (CFP) Board of Standards, Inc.
• Idaho Department of Finance, Securities Bureau
John has extensive experience with mergers and acquisitions, entity formation, buy-sell agreements, partnership agreements, and corporate restructuring of financial service practices throughout the country. He also has decades of experience representing financial professionals in licensing, professional discipline, regulatory violations, and audit compliance. As such, John has a keen eye to help clients acquire, maintain, and defend registrations with the SEC, FINRA, and state regulatory bodies.
EDUCATION
Willamette University College of Law (J.D. & Dispute Resolution Certificate)
Pacific Lutheran University (B.A., Political Science)
BAR ADMISSIONS
District of Columbia
Oregon
Washington
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
Lutheran Volunteer Corps, Treasurer and Director
Pacific Lutheran University, Alumni Board Former Member; Current Member of the Endowment Committee
City of West Linn Planning Commission, Former Chair and Member
Investment Adviser Association, Member
Financial Planning Association, Oregon and Southwest Washington Chapters
- National Public Policy and Advocacy Committee, Former Member
- Government and Regulatory Affairs Sections, Former Director
- National Government Relations Committee, Former Member
Prior member of the Federal Judicial Selection Committee, Appointed by U.S. Senators Wyden and Merkley