Joshua is co-chair of the Securities Industry practice and co-chair of the Cannabis Law 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
Joshua understands the needs of businesses in the rapidly expanding and highly regulated market for legalized cannabis. He is part of a multidisciplinary team at Fox that is prepared to provide services and guidance to legal marijuana businesses in the areas of:
- Shareholder and partnership agreements
- Venture capital
- Banking and financial services
- Employee benefits
Josh is a sought-after authority on complex cannabis law issues. He has advised Philadelphia City Council on the employment law challenges posed by Pennsylvania’s medical marijuana program as a representative of the Philadelphia Bar Association’s Medical Marijuana and Hemp Committee.
* Please be mindful that possessing, using, distributing and/or selling marijuana is a federal crime, and no legal advice given by Fox is intended to provide any guidance or assistance in violating federal law.
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.
In the Weeds Blog
In the highly regulated cannabis industry, success is reserved for those who take a thoughtful and strategic approach to entering this market. In the Weeds aims to help keep today’s cannabis entrepreneur well informed. Josh tracks developments in marijuana law and business, including regulatory framework in states where cannabis has been legalized for medical and/or recreational uses and the unique issues that businesses in the cannabis industry face. Join this blog team in their examination of issues that are distinct to companies in the legal marijuana space, as well as the interplay of collateral businesses to the cannabis industry.
National Survey on Marijuana Laws and Regulations
This survey has been provided by the Fox Rothschild Cannabis Law Practice as a quick reference to relevant laws and statutes governing marijuana usage in the United States.
Click here to view the survey.
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
- Private Placement Sales
- A Guide To Answer That Age-Old Question: So What Does It Mean To Know Your Customer?
- Private Equity and Hedge Funds: Regulatory Analysis and Structural Overview
- A Guide to Every Day Risk Avoidance Techniques and How to Address a Customer Complaint
- Crisis Management and Communications Services
- National Survey on Restrictive Covenants
- National Survey on Marijuana Laws and Regulations
- Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities
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.
Joshua currently serves on Cannabis Law Journal’s 2016 Editorial Advisory Board.
Honors & Awards
- Named a Cannabis Law Trailblazer by The National Law Journal (2018)
- Named a "Rising Star" by Philadelphia Magazine and Law & Politics Magazine (2006)