Mr. Kelly represents broker dealers and registered individuals in the defense of claims brought under federal and state securities laws. He has extensive experience in the arbitration of securities matters before the Financial Industry Regulatory Authority, the National Association of Securities Dealers, the New York Stock Exchange, and the American Arbitration Association. Mr. Kelly appears in both State and Federal courts in connection with securities matters.
Mr. Kelly has mediated matters on behalf of clients throughout the country, employing both formal and informal mediation processes, and advises clients on day to day issues in the securities industry such as pre-arbitration customer disputes, third party claims and discovery and general compliance issues.
Mr. Kelly has handled cases in connection with self-regulatory inquiries, investigations and actions as well as SEC enforcement actions. He has appeared on behalf of clients before the SEC, the NASD, state regulatory agencies and various certification boards. His specific cases have included Kidder, Peabody & Co. v. Greenblatt, 1999 WL 672661 (E.D. Pa.), which related to the eligibility of claims for arbitration.
Mr. Kelly is a speaker on securities issues and has spoken at the New Jersey State Bar Association's ("NJSBA") Annual Meeting and before the NJSBA Securities Litigation and Regulatory Enforcement Committee. Mr. Kelly has written articles appearing in The Review of Securities & Commodities Regulation and the Compliance Reporter, a publication of Institutional Investor, Inc.
Mr. Kelly recently managed a team of McCarter attorneys responsible for the review and production of over 25 million pages of documents in a Multi-District Litigation in the Central District of Florida, noted as the largest and most compressed ESI production effort in the history of electronic discovery. Mr. Kelly has participated as a panelist in presentations on the risks and challenges of electronic discovery, sharing his extensive experience in the area of ESI production as it pertains to clients of various sizes. Mr. Kelly serves on McCarter & English's E-Discovery committee and is a member of the SEDONA Conference®, the premier authority on the preservation and production of electronically stored information in civil litigation.
Memberships & Affiliations
New Jersey State Bar Association
New York State Bar Association
Florida State Bar Association
American Bar Association
Securities Industry and Financial Markets Association
NJSBA Securities Litigation and Regulatory Enforcement Committee
Events
09/27/2011, McCarter & English and the Securities Litigation and Regulatory Enforcement Committee of the New Jersey State Bar Association Invites You to A Night of Networking and Discussion
09/10/2008, Securities Regulators Speak: 2009 Enforcement Issues
Publications
06/18/2008, The U.S. Supreme Court Decides Hall Street: Challenging An Arbitration Award Just Got Tougher
John C. Kelly
Securities & Commodities Regulation