About John Carr

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)
• Oregon Division of Financial Regulation (DFR)
• Washington Department of Financial Institutions (DFI)
• Washington State Insurance Commissioner
• Idaho Department of Finance, Securities Bureau
• Certified Financial Planner (CFP) Board of Standards, Inc.
• U.S. Department of Labor (DOL)

Mr. Carr has also defended countless insurance defense claims involving errors and omissions (E&O) and commercial general liability (CGL) policies for insureds within the financial services industry are an area of focus. As such, Mr. Carr has a keen eye to help clients acquire, maintain, and defend registrations with the SEC, FINRA, and state regulatory bodies.

Mr. Carr’s additional practice areas include licensing, mergers and acquisitions, professional discipline, regulatory violations, audit compliance, entity formation, and corporate restructuring.
He is a former intern to the late U.S. Senator Mark O. Hatfield