Fox Rothschild LLP

Joshua Horn

Partner

Philadelphia, PA

215.299.2184

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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

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. 

Client Resources

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.
View Blog

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
Download Presentation

Honors and Awards

• Selected as a "Rising Star" by Philadelphia Magazine and Law & Politics Magazine (2006)

Practice Areas

Antitrust
Attorneys and Law Firms
Directors' & Officers' Liability & Corporate Governance
Financial Services Industry
Litigation
Privacy and Data Security
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 Council


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