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Areas of Practice
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Representative Experience
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Professional Background
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Professional/Civic Activities
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Speaking Engagements
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Court Admissions
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Bar Admissions
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Education
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Achievements
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Additional Information
Areas of Practice
Mr. Jonson concentrates his practice in the area of securities law, representing broker-dealers, investment advisors, and financial service providers in all aspects of federal and state securities compliance and defense matters.
Representative Experience
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Defended broker-dealers in FINRA securities arbitrations involving millions of dollars in potential liability.
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Advised private investment fund managers and venture capital finders on federal and state regulatory issues arising under the '33 Act, '34 Act, '40 Act, and related rules.
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Advised South Carolina Attorney General on federal and state securities law issues, statutes, regulations, and policies; proposed and drafted state legislation, regulations, and policies.
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Directed and managed all legal, investigative, enforcement, and regulatory activities of the South Carolina Securities Commission.
Professional Background
Prior to joining the firm, David was Deputy Attorney General and Deputy Securities Commissioner for the State of South Carolina from 1997-2000.
Professional/Civic Activities
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North Carolina Securities Industry Association, Board of Directors, 2005
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Investor Protection Trust, Board of Trustees, 1999-2000, 2000-2001
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National Society of Compliance Professionals, Member 2001-present
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North American Securities Administrators Association (NASAA), Member 1997-2000, Board of Directors 1999-2000, 2000-2001
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Leadership Raleigh, Class of 2003
Speaking Engagements
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"Broker-Dealer Sales Tactics," NASAA Winter Enforcement Conference, Coronado, CA, January 2009
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"Securities Arbitration - Practitioners' Perspectives on the System," American Bar Association 2008 Annual Meeting, New York, NY, August 2008
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"Dealing with Securities Regulatory Inquiries," presentation to Financial Planning Association, November 2006
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"State Regulatory Issues Affecting Broker-Dealers and Investment Advisors," National Regulatory Services Compliance and Risk Management Conference: Charleston, S.C., September 2003
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"Broker-Dealer and Investment Adviser Regulation," CLE Presentation, Charlotte, N.C., February 2003
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"The Interplay Between Arbitration and Enforcement," NASAA Winter Enforcement Conference, Charleston, S.C., January 2003
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"Meet the State Regulators," NASD Regulation Compliance Seminar: Atlanta, Ga., August 1999
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"Securities Crime Primer," Securities Fraud and Financial Exploitation Seminar, South Carolina Attorney General's Office, Columbia, S.C., April 1998
Court Admissions
Bar Admissions
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Bar of North Carolina
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Bar of South Carolina
Education
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J.D.,
University of South Carolina School of Law
(1997)
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B.A.,
Washington and Lee University
(1985)
(cum laude)
Achievements
Additional Information
Publications
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"Stockbrokers may see less arbitration in disputes," co-authored with Amy Williams, Charlotte Business Journal, September 2007
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