Joshua is co-chair of the Securities Industry Practice.
Joshua represents major financial services companies in matters throughout the country. He also represents financial advisory companies, individual advisors, and counselors in FINRA examinations, enforcement and arbitrations. Joshua has also represented individual brokers on disciplinary matters before FINRA and state securities commissions, and has represented companies and individuals in SEC investigations.
Joshua’s practice also includes the representation of the premier merchant card processing company in various matters, including class actions, throughout the country.
Among other work, Joshua provides representation in the following areas:
- financial services
- trademarks and trade secrets
- professional ethics
- broker/dealer defense
- broker/dealer regulatory
- SEC investigations and enforcement
- credit card processing services
- legal malpractice defense
- data security
- Fair Debt Collection Practices Act
- Fair Credit Reporting Act
- Telephone Consumer Protection Act
Before Fox Rothschild
At Widener Law School, Joshua was a member of the Phi Kappa Phi Honor Society and received the American Jurisprudence Award, Constitutional Law II, Evidence. He also worked as the Internal Managing Editor of the Law Review
and had his Note, "Costanza v. Department of Environmental Resources: No Jurisdiction for Declaratory Relief," published. As an undergraduate, Joshua was a member of the Periclean Academic Honor Society.
Beyond Fox Rothschild
Joshua was a member of the Temple American Inn of Court. A prolific author on topics in his field, he has been a contributor to the Appraisal Institute Newsletter, The Legal Intelligencer, the Temple Law Review and recently contributed a chapter for Inside the Minds titled, "SEC Enforcement and Securities Law in the Wake of the Financial Crisis." Joshua is also a frequent blogger on the Securities Compliance Sentinel.
Joshua served as the first male President of The Shipley School Alumni Association and is a member of the Board of Trustees of The Shipley School, a co-educational independent school located in Bryn Mawr, Pennsylvania. He continues to serve on the Alumni Council of The Shipley School. Joshua also served as a board member to The Chapel of Four Chaplains, an organization that promotes "unity without uniformity" by encouraging goodwill and cooperation.
Securities Compliance Sentinel Blog
The highly regulated securities and financial industry has a host of complex problems—and financial institutions often find themselves on the receiving end of audits, investigations and other compliance issues. Josh shares his knowledge and experience to address cutting edge issues in the firm’s Securities Compliance Sentinel Blog. Join this team of bloggers in their exploration of this increasingly complex area.
The Meaning of the “E” in E-Mail
Electronic communications—cell phone texts, web posts, tweets and, of course, e-mail—have been a game-changer for financial advisers, brokers and others in the financial industry embroiled in disputes or litigation and, as a result, facing external review of both paper and electronic company records by FINRA, the SEC or opposing counsel during discovery. In this podcast, Joshua Horn explains the real meaning of the “e” in e-mail, and the ramifications of this “e-mail equation” for brokers, advisers and other financial industry professionals.
Listen to the podcast
Webinar: Dodd-Frank Fallout: What's in Store for the Investment Management Industry?
In this webinar, attorneys in Fox Rothschild's Securities Industry Group explore and explain how Dodd-Frank will affect investment advisers, hedge funds, money market funds, mutual funds, broker-dealers and other investment management industry participants.
• Download the Presentation (PowerPoint File)
Webinar: Practical Risk Management for Financial Advisors and Supervisors
This practical webinar is designed for executives responsible for monitoring, measuring and controlling risks. Whether you must deal with or are a regulator, board member or senior management, this presentation highlights best practices.
• Download the Presentation (PDF File)
Law Consulting Coaching Podcast
Repurposing Content to Gain Wider Visibility and Profile
Joshua shares how repurposing content enabled him to reach a wider audience of potential clients.
Attorney Authored Resources
Risk Avoidance Techniques for Financial Advisors
Honors and Awards
- Selected as a "Rising Star" by Philadelphia Magazine and Law & Politics Magazine (2006)