head_HornJoshua

Joshua Horn

Partner

Philadelphia, PA

215.299.2184

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News

Here is a Quick Way to Uncover a Fraudster
Westlaw News & Insight Securities Blog
November 1, 2012
Does FINRA's Large Arbitration Pilot Program Make Sense?
Westlaw News & Insight Securities Blog
July 9, 2012
The Know-Your-Customer and Suitability Rules are Coming; Are You Prepared?
Westlaw News & Insight Securities Blog
June 11, 2012
FINRA Enforcement Actions Rose Sharply in Early 2012
MoneyLaundering.com
June 8, 2012
Email is Great...Until It is a Fraud
Westlaw News & Insight Securities Blog
February 2, 2012
SEC Seeks Tougher Enforcement Options as it Stumbles on Settlements
Westlaw News & Insight Securities Blog
December 2, 2011
Broker-Dealers Prepare for 'Ambiguous' KYC Regulations
Money Laundering.com
November 29, 2011
Ketchum: FINRA May Issue Second Proposal Regarding Possible SEC Fiduciary Duty Rule
BNA Daily Report for Executives
November 17, 2011
High Tide: From Passage To London To A Seven-Day Notice
The Wall Street Journal
August 30, 2011
Fox Rothschild Named a “Go-To Law Firm” by American Lawyer Media
December 16, 2010
FTC Moves to Reform Debt Collection
The MainStreet Newsletter
July 14, 2010
Customer Suing? How to Protect your Bank when Stocks Plummet
FinCriAdvisor
April 20, 2009
  

Publications

New Edition Can Aid Commercial Litigators
Philadelphia Bar Reporter
December 2012
New Arbitration Program vs. Going to Court
Law 360
August 29, 2012
You Received a Customer Complaint. What Do You Do Next?
Westlaw News & Insight Securities Blog
August 13, 2012
National Survey on Restrictive Covenants

2012
A Guide To Answer That Age-Old Question: So What Does It Mean To Know Your Customer?

May 2012
Private Equity and Hedge Funds: Regulatory Analysis and Structural Overview

May 2012
The STOCK Presents Pitfalls for the Private Sector
Westlaw News & Insight Securities Blog
May 17, 2012
Expungement of Forms U-4 and U-5; Potentially a Reality
Westlaw News & Insight Securities Blog
April 12, 2012
Social Media or Fraud - You Decide
Westlaw News & Insight Securities Blog
March 1, 2012
Email is Great…Until it is a Fraud
Securities Industry Practice Alert
February 2012
Congress Finally Addresses Insider Trading. . . For Itself
Westlaw News & Insight Securities Blog
February 16, 2012
SEC Alerts Investment Advisers About Risks Posed by Social Media
Westlaw News & Insight Securities Blog
January 11, 2012
SEC to Heighten Its Focus on Counsel’s Conduct
Westlaw News & Insight Securities Blog
December 22, 2011
SEC likely to continue improving its enforcement track record
Westlaw News & Insight Securities Blog
November 15, 2011
Expect More Investigations and Enforcement Actions From CFTC
Westlaw News & Insight Securities Blog
October 25, 2011
Broker-dealers may end up with a ‘hybrid’ fiduciary standard
Westlaw News & Insight Securities Blog
October 3, 2011
Bill May Mean New Self-regulatory Agency for Investment Advisers
Westlaw News & Insight Securities Blog
September 12, 2011
What To Do When A Ponzi Scheme Is Uncovered: A Roadmap for Compliance and In-House Counsel
NSCP Currents
September / October 2011
Can the SEC Guard Against 'Unintended Consequences' of Whistleblower Rules?
Westlaw News & Insight Securities Blog
August 26, 2011
Reporting Broker-dealer Misconduct Under FINRA Rule 4530
Westlaw News & Insight Securities Blog
August 10, 2011
House Bill Would Encourage SEC Whistleblowers to Use Company Programs First
Westlaw News & Insight Securities Blog
July 25, 2011
FINRA Rules Could Create a De Facto 'Uniform' Fiduciary Standard
Westlaw News & Insight Securities Blog
July 14, 2011
Investment Advisers Face More Regulation of Social-Media Use
Securities Law Blog
June 28, 2011
The Risks of Overzealous Advocacy in SEC Proceedings
Securities Law Blog
June 9, 2011
SEC May Enlist FINRA for Oversight of Investment Advisers
Securities Law Blog
June 6, 2011
FINRA Proposed Rule Would Mandate Disclosure of 'Shelf Space' Payments
Westlaw News & Insight Securities Blog
May 16, 2011
Handling Client Complaints
Westlaw News & Insight Securities Blog
May 5, 2011
Advisers Can Stave Off Client Suits with Frequent Communication
Westlaw News & Insight Securities Blog
April 14, 2011
Brokers and Advisers Beware: Taking Customer Information Could Get You Fined and Suspended
Securities Industry Practice Alert
April 2011
Advisors Can Lower the Risk of Lawsuits by Careful Screening of Clients
Westlaw News & Insight
March 29, 2011
SEC Aims for Transparency in Incentive-Based Pay Packages
Westlaw News & Insights
March 10, 2011
Private-Placement Disclosure Under FINRA's Proposed Rule 5122
Westlaw News & Insights
February 24, 2011
Self-Reporting of Broker-Deal Misconduct Under FINRA Rule 4530
Westlaw News & Insight
February 18, 2011
Important Maintenance Measures for Registered Investment Advisors
Securities Industry Practice Alert
February 2011
New Proposed Accredited Investor Standard for the SEC
Securities Industry Practice Alert
February 2011
Proposed FINRA Rule Impacts Private Placements
Securities Industry Practice Alert
February 2011
New FINRA Rule: Customers May Now Opt for Three Non-Industry Panelists in FINRA Arbitrations
Securities Industry Practice Alert
February 2011
Private Funds Are Affected by Proposed SEC Rules
Westlaw News & Insights
January 31, 2011
The Whistleblower Debates
Westlaw News & Insight
January 17, 2011
SEC to Press Reform Despite Change in Congress
Westlaw News & Insight Securities Litigation Blog
November 22, 2010
SEC Adopts New Rule Preventing Unfiltered Market Access
Securities Industry Practice Alert
November 2010
Advisors: Beware of the “Switch” From SEC Oversight to State Regulation
Securities Industry Practice Alert
September 2010
Dodd-Frank Wall Street Reform and Consumer Protection Act: Consumer Financial Protection Act
Securities Industry Practice Alert
August 2010
Dodd-Frank Wall Street Reform and Consumer Protection Act: Implications for Insurers, Reinsurers, Producers and Brokers
Securities Industry Practice Alert
August 2010
FINRA Opens Up Brokers' Closets Even Further ... and for Longer
Securities Industry Practice Alert
July 2010
The Dodd-Frank Wall Street Reform and Consumer Protection Act: Whistle-Blower Provisions and Fiduciary Duty Standards
Securities Industry Practice Alert
July 2010
The Dodd-Frank Wall Street Reform and Consumer Protection Act
Securities Industry Practice Alert
July 2010
Broker Beware: New FINRA Guidance Suggests Renewed Regulatory Focus on Broker-Dealers Involved in Regulation D Offerings
Securities Industry and Tech & Venture Finance Practice Alert
May 2010
SEC Enforcement and Securities Law in the Wake of the Financial Crisis
Inside the Minds
March 2010
FINRA's Guidance on Social Media Web Sites
Securities Industry Practice Alert
January 2010
FINRA's Enforcement Process Steps Up in 2010
Securities Industry Practice Alert
January 2010
Some Thoughts for Your Annual Compliance Review: Red Flags and AML Procedures
Securities Industry Practice Alert
January 2010
Series LLCs and Their Use in the Securities Industry
Securities Industry Practice Alert
January 2010
How Recent Court Developments Could Affect Arbitration's Future: From Hall Street to Stolt-Nielson to Anti-Arbitration Legislative Proposals
American Arbitration Association Dispute Resolution Journal
October 2009
A Guide to Every Day Risk Avoidance Techniques and How to Address a Customer Complaint

October 1, 2009
New Disclosure Rules: More Regulation for Registered Representatives
Securities Industry Practice Alert
September 2009
SEC Enforcement Staff Gains Subpoena Power (and Other Evolutions in the Division's Authority and Responsiveness)
Securities Industry Alert
August 2009
Raising International Regulatory Standards and Cooperation in Troubled Times
Securities Industry Alert
July 2009
The FRR Report Proposes a Resolution Regime to Aid Failing Firms
Securities Industry Alert
July 9, 2009
FRR Report Proposes Three New Regulatory Agencies
Securities Industry Alert
July 2009
FRR Would Decrease Reliance on CRAs and Increase Systemic Safeguards
Securities Industry Practice Group Alert
July 2009
The Formation of a New Consumer Financial Protection Agency
Securities Industry Alert
July 2009
The Importance Of Vaden V. Discover Bank
Law360
May 14, 2009
Produce My Notes? I Thought That Was Work Product; Not Necessarily The Case Under SEC v. Roberts
The Legal Intelligencer
January 30, 2009
Every Day Risk Avoidance Techniques (Securities Law360)
Securities Law360
December 30, 2008
Clients Affected by Madoff Scandal Should Take a Proactive Approach
Securities & Financial Institutions Compliance and Defense Alert
December 2008
Don't Get Stung...
ABF Journal
October 01, 2008
Lessons Learned From 'Creative Pipe'
Law.com
August 12, 2008
A Creative Screening of Electronically Stored Information May Determine the Victor
The Corporate Counselor
August 01, 2008
Every Day Risk Avoidance Techniques

June 30, 2008
So You Want To Buy A Business - Caveat Emptor
Dynamic Business Magazine
May 27, 2008
The Unfulfilled Qwest for a "Selective Waiver"
The Legal Intelligencer
July 03, 2006
Preserving Attorney-Client Privilege, Work Product Doctrine
The Legal Intelligencer
January 02, 2006
Selective Waivers of the Attorney-Client Privilege
The Legal Intelligencer
August 2002
Screening Mechanisms: A Broader Application?
Temple Law Review
January 04, 1999
  

Speaking Engagements/Events

Risk Avoidance Techniques for Financial Advisors
Speaker
Presented by: Fox Rothschild LLP
Webinar
October 4, 2011
Dodd-Frank Fallout: What's in Store for the Investment Management Industry?
Presented by: Fox Rothschild LLP
Webinar
August 25, 2010
SEC Enforcement: What Changes to Expect in 2010
Presented by: Pennsylvania Bar Institute
November 9, 2009

View Biography

Practice Areas

Attorneys and Law Firms
Directors and Officers Liability and Corporate Governance Disputes
Financial Services Industry
Litigation
Securities Industry

Bar Admissions

Pennsylvania


Education

J.D., Widener Law School

B.A., Skidmore College


Court Admissions

U.S. Court of Appeals, Third Circuit

U.S. District Court, Eastern District of Pennsylvania

U.S. District Court, Middle District of Pennsylvania


Memberships

Philadelphia Bar Association


Board of Directors

The Chapel of Four Chaplains

The Shipley School Alumni Board