Practice Area(s)

 

Education
  • Emory University Law School and Seattle University School of Law (J.D., 1985)
  • Saint Martin's College (B.A., 1982)

     

John A. Bender Member For more than 20 years, John has focused his practice on resolving challenging securities, franchise, banking and other complex civil cases on behalf of businesses and individuals.  He is currently representing individual investors in the Rhonda Breard fraud investigation.
Securities Enforcement, Regulatory and Broker-Dealer Defense

Investors, broker-dealers, investment bankers, advisers, and registered representatives seek John’s defense in regulatory investigations and disciplinary actions brought by the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority (FINRA and NYSE), the New York Stock Exchange and the State of Washington Securities Division, including presenting Wells submissions and Central Registration Depository expunge requests.

John often handles the defense of customer claims against broker-dealers and registered representatives. These matters involve claims of unsuitability, churning, breach of fiduciary duty, fraud and misrepresentation, particularly before FINRA Dispute Resolution.

John has been FINRA's appointed arbitrator and mediator trainer for the Seattle panel of arbitrators from 1993-2003 in that capacity has trained hundreds of arbitrators and mediators around the country. A substantial portion of his practice has been as an FINRA, National Futures Association and NYSE arbitrator and mediator.

Broker Recruitment Litigation

John frequently prosecutes noncompetition, non-solicitation and trade secrets disputes for broker-dealers and registered representatives, including recently for Merrill Lynch. He has a remarkable win rate in such cases.

Securities and Complex Civil Litigation

John has considerable securities litigation experience in the areas of shareholder derivative action, directors’ and officers’ liability, insider trading, corporate governance and internal investigations, mortgage-backed securities and stock option disputes.

Franchising and Related Disputes

John represents franchisors advising on business, regulatory and growth strategies, and he represents franchisors in regulatory investigations and lawsuits. He advises franchisees on their rights and defends them in franchise termination matters.

Professional Experience
  • Holland & Knight LLC (and predecessors), Partner 1993-2004
  • Arbitrator and Pro Tem Judge for King County, Washington Superior Court, 1992-present
  • Arbitrator and mediator, NASD, NYSE, AAA, National Futures Association, National Arbitration Forum
  • Rule 39.1 mediator for U.S. District Court for Western District of Washington
Admitted to practice
  • Washington
Honors and Awards
Publications and Speaking Engagements
  • Keynote speaker and instructor at more than 50 CLE and Securities and Franchising seminars throughout the United States
  • Speaker, Identifying and Litigating Claims Against Stockbrokers and Investment Advisers, Podcast (2009)
  • Speaker, Annual Northwest Dispute Resolution Conference, (2009)
  • "Grab the Arbitrators' Minds and Their Hearts Will Follow," Practicing Law Institute Course Book, (1999)
  • "Securities Arbitrators Training," Practicing Law Institute Course Book, (1998)
  • "Inside NASDR's Training Program," Practicing Law Institute Course Book, (1997)
Professional Activities
  • Washington State Bar Association, Member, Adjunct Investigative Counsel, Previously Hearing Officer
  • King County Bar Association, Member, Judicial Screening Committee (2006-present)
  • American Bar Association--Member, Litigation Section; Member, Committee on Securities Litigation; Member, Broker-Dealer Subcommittee; Member, Forum on Franchising; Member, Committee on Professional Responsibility
  • Washington State Bar Association--Member, Litigation Section
  • Federal Bar Association--Member
  • International Franchise Association, Legal Symposium 
  • Seattle University School of Law Alumni Board Member