John J. Donlon

John J. Donlon

John Donlon is a Bates Group consultant and expert based in Florida. Mr. Donlon joined Bates after spending over 38 years with Bank of America and Merrill Lynch. He is an experienced and innovative financial services professional with US and international banking, securities, and regulatory compliance expertise as well as managerial experience.

While at Bank of America and Merrill Lynch, Mr. Donlon served in a variety of legal and compliance positions in the U.S., London and Singapore, including as General Counsel, Corporate Secretary, and member of a Board of Directors of the Merrill Lynch subsidiary that won the Malcom Baldrige National Quality Award. He has had extensive experience in dealing with complex regulatory requirements for broker-dealers and for both U.S. and international banks, and he has dealt with state, federal, and international regulators and agencies on a variety of legal, regulatory, and licensing matters. He has had both a Series 7 (General Securities Representative) and a Series 24 (General Securities Principal) registration.

Mr. Donlon received his B.A. and J.D. from St. John’s University and his LL.M. in Corporation Law, with a focus on securities laws, from NYU School of Law. He later obtained an M.B.A. from Jacksonville University. Mr. Donlon was an adjunct instructor at an ABA-approved law school and in a graduate school of a fully-accredited university. He has also been an arbitrator and an arbitration panel Chairperson for the NASD (now FINRA). He has co-authored articles in both the ACCA (now ACC) Docket and the Florida Bar Journal, and has presented at the NASD (now FINRA) – Wharton compliance training programs and at several bar association panels.


John J. Donlon

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Banking
      • Branch Management
      • Broker Dealer (B-D)
      • Broker Obligations
      • Corporate Governance
      • Customer Relationship Summary - Form CRS
      • Fiduciary Duties/Responsibilities
      • Foreign Accounts
      • Introducing Firm/Clearing Firm Relationship
      • Legal
      • Margin
      • Mortgages
      • Mortgage Backed Securities (MBS)
      • Mutual Fund Operations
      • Mutual Funds
      • Operations
      • Operations & Controls
      • Outside Business Activity
      • Risk Management
      • Selling Away
      • Senior Investors
      • Securities Lending Accounts
      • Suitability
      • Trade Processing
      • Trusts
      • Unauthorized Trading
      • U.S. & International Clearance & Settlement
      • U.S. & Latin America
      • Wealth Management
      • Wrongful Termination
      • Regulatory & Internal Investigations
      • Financial Crimes
      • Compliance Solutions
  • Regulatory & Internal Investigations
    • U.S. & Global Regulatory Investigations
    • Internal Investigations
  • Financial Crimes
    • Internal Investigations
  • Compliance Solutions
    • Broker-Dealers



Bank of America, Assistant General Counsel, Florida, 2015 – 2018

-Assistant General Counsel, London, 2011 – 2015

Merrill Lynch (2006 - 2009) and Bank of America (2009 – 2011)

-First Vice President and Assistant General Counsel, New Jersey, 2006 – 2011

Merrill Lynch, First Vice President and General Counsel, Chief Compliance Officer, and Corporate Secretary of Transfer Agent, Florida, 2004 – 2006

-First Vice President, Compliance Counsel, and Manager of Investment Advisory Compliance Group, New York, 2002 – 2004

-First Vice President and General Counsel, Singapore, 2001 – 2002

-First Vice President and General Counsel, Corporate Secretary, Board member, and Senior Manager, Florida, 1994 – 2001

-Senior Counsel for Banking, Credit, and Sales Practice Compliance, London, 1991 – 1994

-Senior Counsel and Manager, New York, 1980 – 1991

Law Practice, New York, NY, Associate, 1979 – 1980

Prior non-legal positions, including at IBM Corporation and at Bankers Trust Company


Jacksonville University, Jacksonville, FL, M.B.A.

NYU School of Law, New York, NY, LL.M. in Corporation Law

St. John’s University, New York, NY, J.D.

St. John’s University, New York, NY, B.A.


Series 24 (General Securities Principal)

Series 7 (General Securities Representative)


ACCA Docket (2000): co-author of article on Crisis Management

Florida Bar Journal (1998): co-author of article on Uniform Commercial Code Articles 8 and 9

ABA Business Lawyer: Contributor to the Uniform Commercial Code Annual Survey


Pro Bono legal work provided to charitable organizations in New Jersey

Adjunct instructor at ABA approved law school: Banking Law course

Adjunct instructor at accredited graduate school: courses in Business Law and in Business Ethics

Industry arbitrator and Chair in NASD (now FINRA) and CBOE arbitrations.

Presenter at NASD-Wharton compliance training and other programs, including at state and industry bar panels


New York (and federal districts courts in the Southern and Eastern Districts of NY)

New Jersey (and federal district court in NJ)

Arizona (currently inactive)

Authorized House Counsel in Florida (formerly)