David D. Jones

David advises and represents ’40 Act investment companies (including mutual and hedge funds), as well as registered investment advisers and broker-dealers in the areas of formation, registration and compliance. In addition, David regularly advises his broker-dealer clients in matters related to FINRA arbitrations. He obtained hands-on experience in almost all areas of mutual fund and investment advisory operations during an almost thirty year career in the financial services industry.

In addition to law, David has worked as a fixed income securities trader, mutual fund portfolio manager, investment adviser executive and CEO of a third party mutual fund back office operation.