Jonathan M. Prytherch

Jonathan is a Shareholder in Maynard Nexsen's Financial Services group. His practice focuses on regulatory defense, counseling, and internal investigations for securities broker-dealers and their registered representatives. 

Jonathan has over 23 years of securities regulatory experience, previously serving as a FINRA Enforcement attorney and in-house counsel at a large independent model securities broker-dealer. Prior to joining Maynard Nexsen, he also counseled broker-dealers through his work at a full-service regional law firm.

While at FINRA’s Department of Enforcement, Jonathan worked on a wide range of broker-dealer regulatory matters, including those involving sales-practice, supervision, record-keeping, registration, operations, outside activity, and anti-money laundering issues. Jonathan regularly guided FINRA staff on developing investigations and examinations concerning potential violations of the federal securities laws and FINRA rules. He also brought disciplinary actions against member firms and their associated persons through negotiated settlements, litigated proceedings before FINRA’s Office of Hearing Officers, and appeals before FINRA’s National Adjudicatory Council. 

While serving as in-house counsel, Jonathan handled a high volume of SEC, FINRA, and state securities regulatory requests in routine, cause, and enforcement matters. He also advised the firm on regulatory compliance issues and served as counsel for the firm's internal investigation group.

At Maynard, Jonathan advises clients on regulatory responses, investigative testimony defense, risk mitigation, and regulatory requirements for compliance controls and reviews. He also routinely counsels clients on Form U4 and U5 representative registration disclosure questions. A thought leader in the industry, Jonathan regularly authors articles on FINRA initiatives.