Jonathan A. Forman

Jonathan A. Forman

Baker & Hostetler LLP, Partner

New York City, New York

Jonno Forman is an experienced litigator and compliance attorney who guides financial services and emerging technology clients through ever-changing federal and state regulations relating to securities, payment and money transmission, data privacy and information security. As co-leader of the firm's Financial Services Regulatory and Compliance team, Jonno advises clients at the intersection of technology and financial services, focusing on new investment, payment and blockchain products and services, including cryptocurrencies, digital assets, non-fungible tokens (NFTs) and Web 3.0 decentralized applications (DApps and DeFi). Over the years, Jonno has worked with hedge fund and private equity fund managers, investment advisers, multi-family offices, broker-dealers, banks, trust companies, insurance companies, money services businesses (MSB), payment processors and other financial services, financial technology (fintech) and emerging technology companies and their management to respond to regulatory examinations and government investigations, as well as to resolve complex disputes. Jonno has successfully guided companies and individuals through investigations by the Securities and Exchange Commission (SEC), the Department of Justice (DOJ), the Financial Industry Regulatory Authority (FINRA), the New York State Department of Financial Services (DFS) and various state attorneys general offices and financial regulators, resolving many without charges ever being brought against them. Jonno also routinely advises clients with respect to their regulatory compliance programs and transactional due diligence relating to litigation, bribery, money laundering, market manipulation, data privacy, information security, cybersecurity, business continuity, and other legal and reputational risks, including compliance with DFS's Cybersecurity Regulation, the Bank Secrecy Act (BSA), and FinCEN's anti-money laundering (AML) regulations. Jonno writes and speaks on the topic of securities and financial regulation and enforcement, highlighting significant developments for legal and compliance personnel, including insider trading, data privacy, information security, cybersecurity, blockchain applications, virtual currency, and other regulatory priorities and trends. He is the author of the data privacy chapters of the Practising Law Institute's investment adviser and fintech treatises, and also has been published and/or quoted by: American Bar Association's Business Law Today BlockTribune Bloomberg BNA's Privacy & Data Security Resource Center Bloomberg BNA's Securities Regulation & Law Report Bloomberg Law Columbia Law School's Blue Sky blog Compliance Reporter Corporate Counsel Corporate Governance Advisor FT Ignites Georgetown University's Advanced eDiscovery Institute Global Banking & Finance Review Hedge Fund Legal & Compliance Digest HFM Global HFM Week The Hedge Fund Law Report Law360 Legaltech News New York Law Journal NSCP Currents The Practising Law Institute ThinkAdvisor Wall Street Lawyer Wolters Kluwer Federal Securities Law Reports Wolters Kluwer Insights Wolters Kluwer Securities Regulation Daily

Experience

Baker & Hostetler LLP Logo
Baker & Hostetler LLP
Partner
∼ Present
Firm Prospects attorney tracking launched in 2015/2016. Prior employment history currently unavailable.

Matched Jobs

Kobre & Kim Logo
Government Enforcement Defense Principal
New York-New York City

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