Jon M. Stanfield Profile

Jon is a business executive, trial attorney, and securities compliance officer with over 18 years experience helping soldiers, independent advisors, and securities firms comply with federal and state rules and regulations.  Prior to joining forces with Will, Jon served as President and Chief Compliance Officer of a national, independent broker-dealer and registered investment adviser.  He led a full-time staff of over 70 associates to service and supervise 275 dynamic investment advisor reps.  In his prior role as Corporate Counsel, Jon aggressively defended the firm in arbitrations and regulatory exams or inquiries.  Having worked on both the business and compliance sides of the firm, Jon understands and appreciates the risks and rewards of running a highly regulated financial firm.  Before moving into the financial services sector, Jon served as an Army Judge Advocate for over seven years.

Jon M. Stanfield, Military Lawyer, Court-Martial Defense, Army Attorney The Law Office of Will M. Helixon - Over 71 years of military law experience.

Evaluation Comments

“Superstar performance.  CPT Jon Stanfield is a rare combination of lawyer and Soldier who possess unparalleled character, intuitive leadership, scholarship and athletic ability to form one of the most dynamic JAG officers in our Corps today.” JAG LTC Sr. Rater, April 2004

“CPT (P) Jon Stanfield is a top 5% officer and clearly the best Senior Defense Counsel within Regions VII & VIII, Trial Defense Service.” JAG COL Sr. Rater, June 2005

“His performance during combat operations in Iraq was phenomenal.  Captain Jon Stanfield is in the top 5% of all Judge Advocates I have supervised in my 22 years of service.” JAG COL Sr. Rater, April 2003

“He is definitely the best writer and oral communicator in the office and is one of the best communicators I have ever observed in the JAGC or in the Artillery.” JAG MAJ Rater, June 2001

CPT Jon Stanfield is detined to be one of the best trial attorneys in the JAG Corps.” JAG MAJ Rater, June 2000

“Still tackling the complex cases with aplomb, Jon achieved absolutely outstanding results for his clients, including the complete dismissal of charges in two separate rape cases.” JAG LTC Rater, June 2005

Colleges & Universities

  • University of Michigan

Law School

  • George Washington University Law School

Professional Licenses & Memberships

    • Financial Licenses (last held Nov. 2016)
      • Series 7, 24, 66, 99
    • Financial Services Institute
      • Member, FSI Arbitration Task Force
    • Society of Financial Service Professionals
      • Vice President, KC Chapter
    • Kansas Bar Association
    • Kansas City Metropolitan Bar Association
    • Admitted to Practice:
      • Kansas
      • Missouri
      • U.S. District Court – Western District of Missouri
      • U.S. District Court – District of Kansas
      • U.S. Tax Court 

Professional Legal Experience

  • Partner, Business Affairs Division (Law Office of Will M. Helixon, Overland Park, Kansas) November 2016 – Present

Provide full service legal advice, representation, and business/compliance consulting to federally registered RIAs, Broker-Dealers, and insurance companies. Represent respondents/defendants in FINRA arbitration claims, state or federal court actions, and regulatory matters before FINRA, the SEC, the NFA, or state actions by Kansas or Missouri. Expertly assist soldiers, sailors, marines and airmen with UCMJ criminal or adverse administrative matters..

 

  • President (VSR Financial Services, Overland Park, KS) July 2005 – November 2016

Responsible for day-to-day operations and implementing strategic objectives for national, independent broker-dealer and SEC registered investment adviser located in Overland Park, Kansas with retail branch offices in approximately 36 states. Also manages firm’s legal risk exposure and compliance with state and federal securities laws and advisory rules and regulations.

 

  • Co-President (VSR Financial Services, Overland Park, KS) June 2011 – December 2015

 

  • Corporate Counsel (VSR Financial Services, Overland Park, KS) July 2005 – June 2011

 

  • Senior Defense Counsel (US Army Europe) July 2003 – September 2005

Coordinate and provide criminal legal defense services to service members in and around Wiesbaden and Baumholder, Germany (1st Armored Division).

 

  • Operational Law Attorney (US Army Europe) February 2003 – June 2003

Deployed with Headquarters, V Corps in support of Operation Iraqi Freedom with service in Kuwait and Baghdad, Iraq. Legal advisor to the Fire Effects Coordination Cell. Reviewed in real-time hundreds of fire missions in support of ground and air forces for compliance with the Laws of War, Rules of Engagement, and collateral damage effects.

 

  • Chief, V Corps Claims (US Army Europe) March 2001 – May 2002

Supervise 7 person staff and three remote branch offices responsible for investigating, adjudicating and settling claims against the US Govt.

 

  • Trial Counsel and SAUSA (US Army – Ft. Sill) 1999 – 2001 

Prosecuted soldiers in bench and panel trials for serious offenses including drug distribution, aggravated assault, rape, identify theft, and bomb threats. Served as part-time instructor for Basic Combat Training and the Artillery Officer Basic course. Appointed as a part-time Special Assistant US Attorney (SAUSA) in W. District of Oklahoma to prosecute offenses and represent the US in detention hearings before a Federal Magistrate in Lawton, Oklahoma.

Financial

    • FINRA Advertising Review
    • FINRA Anti-Money Laundering
    • PLI Institute – Securities Regulation
    • Regulatory Compliance & Litigation Issues for the Financial Services Professional
    • National Society of Compliance Professionals Annual Meetings
    • Financial Services Institute One Voice

Military

    • Army ROTC Advanced Camp (Fort Lewis)
    • Airborne School
    • 145th Judge Advocate Officer Basic Course
    • Criminal Law Advocacy Course
    • 2003 US Army Europe Contract and Fiscal Law CLE
    • Staff Process Course of the Combined Arms and Services Staff School
    • Basics for Ethics Counselors Workshop
    • Domestic Violence Conference for Leaders
    • Forensic Interview Process Course
    • Trial Counsel Advocacy Program Conference
    • Criminal Law Update
    • 2011 Judge Advocate Officer Advanced Course
    • US Army Trial Defense Service Conferences, 2003 to 2005
    • Internal Look/Lucky Warrior, Camp Virginia, Kuwait (Legal Advisor, V Corps CMAIN Fire Effects Coordination Cell) November – December 2002
    • Operation Iraqi Freedom, Camp Virigina, Kuwait and Baghdad, Iraq, (Legal Advisor, V Corps CMAIN FECC) Feb 2003 to June 2003
    • Invited Lectures & Speaking Engagements
      • Instructor, VSR National Sales Conference, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2015 (August 2015)
      • Instructor, VSR National Sales Conference, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2014 Staying Ahead of the Curve (August 2013)
      • Instructor, VSR National Sales Conference, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2012 – VSR All-Stars (August 2012)
      • Instructor, VSR Home Office, VSR Academy, Overland Park, Kansas, Topic – Saving for College (June 2012)
      • Instructor, VSR National Sales Confernce, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2011 Reaching New Heights (August 2011)
      • Instructor, VSR National Sales Conference, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2010 (August 2010)
      • Instructor, VSR National Sales Conference, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2009 (August 2009)
      • Instructor, VSR National Sales Conference, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2008 (August 2008)
      • Instructor, VSR National Sales Conference, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2007 On Track for Future Success (August 2007)
      • Instructor, VSR National Sales Conference, Annual Compliance Meeting, Overland Park, Kansas, Topic – Compliance 2006 (August 2006)
      • Instructor, U.S. Army Trial Defense Service, Bi-European Regional Conference, Germany, Topic – Voir Dire: The First and Perhaps Best Chance to Shape Your Case (Spring 2005)
      • Instructor, U.S. Army Trial Defense Service, Bi-European Regional Conference, Germany, Topics – Defending a Computer Pornography Case (Fall 2004)
      • Instructor, U.S. Army Trial Defense Service, Bi-European Regional Conference, Germany, Topics: Military Confinement and the Parole System (Spring 2004)

Military Decorations

Bronze Star Medal

Meritorious Service Medal (2nd Award)

Army Commendation Medal (2nd Award)

Army Achievement Medal (2nd Award)

National Defense Service Medal (2nd Award)

Global War on Terrorism Expeditionary Medal

Global War on Terrorism Service Medal

Army Service Ribbon

Overseas Service Ribbon

Parachutist Badge

Other Awards

Kansas High School Debate Champion (Class 6A, 4 Speaker, 1990)

Michigan Class Honors (1994)

Top Five Speaker Award – GWU Moot Court Competition (1996)

Award for Distinguished Accomplishment – International and Operation Law OBC, The Judge Advocate General’s School (1998)

Commandant’s List, JAOBC (1998)

Commandant’s List JAOAC (2011)