Business Litigation And Counsel

attorney John Rock

John Rock

Practice Areas:

  • Complex Commercial Litigation
  • FINRA Arbitrations Representing Broker-Dealers and Financial Advisors
  • General Securities Litigation
  • Franchise and Automobile Dealer Litigation Representing Franchisors and Automobile Manufacturers
  • General Commercial and Contract Litigation

Biography

John is the co-founder and managing partner of Rock Hutchinson, PLLP. His practice focuses on complex commercial litigation, FINRA arbitrations representing broker-dealers and financial advisors, general securities litigation, franchise and automobile dealer litigation representing franchisors and automobile manufacturers, and general commercial and contract litigation.

John has extensive trial and motion practice experience in federal and state courts, as well as in arbitration forums and before administrative agencies.

Contact John by emailing him at [email protected] or calling him at (612) 573-3682.

Education

  • University of Minnesota Law School, Minneapolis, Minnesota
    • J.D. - 2002
    • Honors: magna cum laude
    • Honors: Order of the Coif
    • Honors: Law Review: Minnesota Law Review, Managing Editor
  • Augustana College
    • B.A. - 1994
    • Honors: cum laude
    • Major: History

Bar Admission

  • Minnesota
  • Iowa
  • U.S. Court of Appeals 8th Circuit
  • U.S. Court of Appeals 11th Circuit
  • U.S. District Court District of Minnesota
  • U.S. District Court Eastern District of Wisconsin
  • U.S. District Court District of Colorado
  • U.S. Tax Court

Representative Cases

  • Young, et al. v. ECTG Limited, (D. Minn. 2015). Lead counsel for plaintiff lenders in breach of promissory note litigation. Summary judgment granted in favor of clients for entire amount of requested monetary relief.
  • Joan M. Christenson, et al. v. SII Investments, Inc and Paul A. Schmidt, FINRA Dispute Resolution, 2015. Lead counsel for Respondents in successful defense against unsuitability and fraud claims. Following grant of partial motion to dismiss and arbitration hearing, panel awarded less than 6% of Claimants’ requested monetary relief.
  • Private AAA Arbitration (2014). Lead counsel for Registered Investment Advisor firm defending against claims of fraud, unsuitable financial planning advice and breach of contract. Following arbitration hearing, all claims dismissed with prejudice.
  • Du v. U.S. Bancorp Investments, Inc., FINRA Dispute Resolution, 2012. Lead counsel for Respondent. Following the hearing, the FINRA arbitration panel dismissed all claims with prejudice.
  • Gentile Nissan v. Nissan North America, Inc., Wis. Div. Hearing and Appeals, 2010. Counsel for Respondent Nissan in dealer termination; after trial, judgment for Nissan.
  • Zimbrick Honda v. American Honda Motor Co., Inc., Wis. Div. Hearing and Appeals, 2010. Counsel for Respondent Honda in add-point case; after trial, judgment for Honda.
  • United States ex rel. Barber v. Paychex, Inc., et al., (S.D. Fla. 2010). Represented defendant Ceridian Corporation in False Claims Act claim. Motion to dismiss granted; case dismissed with prejudice.
  • Coleman v. Franken, Minnesota District Court, 2009. Represented candidate in 2008 U.S. Senate election contest proceedings.
  • Krieg v. Ameriprise Financial Services, Inc., FINRA Dispute Resolution, 2007, Iowa District Court, Iowa Court of Appeals and Iowa Supreme Court 2008-2009. Lead counsel for respondent. Following the hearing, the FINRA arbitration panel dismissed all claims with prejudice. Claimant/plaintiff filed subsequent motions to vacate and reconsider, and appeals, all of which were decided in favor of respondent.
  • Rockwell v. SII Investments, Inc., NASD Dispute Resolution, 2006. Lead counsel for respondents, a broker-dealer and financial advisor. Following hearing, the NASD arbitration panel dismissed all claims with prejudice and ordered claimant to pay all forum fees.
  • R.L. Imports v. Subaru of America, Inc., D. Minn., 2005. Counsel for defendant in add-point protest. Following trial, favorable settlement allowing establishment of new dealer.
  • Kohler v. Commissioner of Internal Revenue, United States Tax Court, 2003. Represented Petitioner in a case regarding estate tax valuation of closely held stock. Petitioner prevailed.

Pro-Bono Activities

  • Charter Board Member and President, Twin Cities Christian Legal Aid
  • Humphrey Institute Policy Fellow, 2008-2009

Past Positions

  • Dorsey & Whitney LLP, Associate, 2002 to 2011
  • Rock Law LLC, 2011 to 2015

Professional Associations

  • Federal Bar Association, Member
  • Minnesota State Bar Association, Member
  • Iowa State Bar Association, Member
  • American Bar Association – Civil Litigation Section

Current Employment Position

  • Managing Partner