John Rock


John is the founder and managing member of Rock Law LLC.  His practice focuses on FINRA arbitrations representing broker-dealers and financial advisors, general securities litigation, franchise and automobile dealer litigation representing franchisors and automobile manufacturers, computer fraud investigations and litigation, and general commercial and contract litigation.

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John has extensive trial and motion practice experience in federal and state courts, as well as in arbitration forums and before administrative agencies.  In the last eight-plus years, John has tried more than 20 cases.

 

Representative Litigation

  • 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.

  Professional Activities

  • Charter Board Member and President, Twin Cities Christian Legal Aid
  • Humphrey Institute Policy Fellow, 2008-2009
  • Federal Bar Association member
  • Minnesota State Bar Association member
  • Hennepin County Bar Association member
  • American Bar Association – Forum on Franchising
  • American Bar Association – Civil Litigation Section

Admissions

  • Minnesota
  • United States District Court for the District of Minnesota
  • United States District Court for the Eastern District of Wisconsin
  • United States District Court for the District of Colorado
  • United States Court of Appeals for the Eighth Circuit
  • United States Court of Appeals for the Eleventh Circuit
  • United States Tax Court

Professional Experience

  • Dorsey & Whitney LLP, 2002-2011

Education

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

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