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.

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

Bar Admissions

  • Minnesota
  • Iowa

Court Admissions

  • 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

Prior 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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