Jonathan M. Prytherch joins Moore & Van Allen’s Financial Regulatory Advice & Response group

Moore & Van Allen PLLC (MVA) is pleased to announce that Jonathan M. Prytherch has joined the firm as counsel in the Financial Regulatory Advice & Response group. Mr. Prytherch’s practice focuses on securities regulatory and enforcement matters involving broker-dealers and their registered representatives. He previously served as in-house counsel at a large broker-dealer and has over 19 years of securities regulatory experience.

“We are pleased to welcome Jonathan to our team,” said Ed O’Keefe, Member and co-Chair of the Financial Regulatory Advice & Response group. “He brings a wealth of regulatory knowledge and is well positioned to counsel our clients on how to prevent and manage investigations. The addition of Jonathan adds another perspective and provides insight that further enables us to serve our clients.”

In his role as in-house counsel, Mr. Prytherch’s practice focused on regulatory defense with respect to FINRA, SEC and state inquiry and enforcement matters. He also directed internal investigations and provided regulatory legal advice with respect to the firm’s business.

Mr. Prytherch began his career as an attorney with FINRA’s Department of Enforcement.  In that capacity, he counseled FINRA staff on developing investigations involving FINRA, SEC and MSRB rules, as well as the federal securities laws in areas such as sales-practice, supervision, record-keeping, operations, and anti-money laundering.  He was also responsible for litigating the formal disciplinary actions resulting from those investigations, at the FINRA Office of Hearing Officers level, through appeals heard by FINRA’s National Adjudicatory Council.

Mr. Prytherch is a graduate of Brooklyn Law School. He is admitted to practice law in New York and New Jersey; at MVA, he will provide advice to institutional clients regarding federal regulatory matters. 

Moore & Van Allen’s Financial Regulatory Advice & Response practice is one of the largest of its kind in the southeast and consists of former senior leaders from some of the world’s largest banks and seasoned regulatory lawyers.  This combination of experiences allows us to understand our clients from the inside out as well as the regulators with which they frequently engage.  We anticipate our clients’ needs and tailor our advice so that it can be operationalized by our clients and explained to their regulators.