Jon represents clients in regulatory and transactional matters involving insurance regulation, service contract (extended warranty) regulation, limited warranties, and other related financial products. He assists clients with compliance matters, transactions, and disputes involving the Texas Department of Insurance (TDI), Surplus Lines Stamping Office of Texas (SLSOT), Texas Department of Licensing and Regulation (TDLR), and other state regulators.

Jon’s insurance regulatory experience includes advising clients on a variety of transactional, licensing, compliance, regulatory, rulemaking, and enforcement issues. These involve a wide range of provisions of the Texas Insurance Code and TDI’s rules, formation of new insurance companies, and agencies; filings under and compliance with the Texas Holding Company Act (including Form As, Form Bs, Form Ds, and Form Fs); captive insurance company formations; regulatory approvals for mergers, acquisitions, and other changes of control (including FIN531 filings for Texas agency changes of control); and licensing issues on behalf of insurance companies, agents, risk managers, reinsurance intermediaries, adjusters, and third-party administrators.

Jon’s service contract (extended warranty) experience includes advising clients on a variety of licensing and compliance matters, including financial security and reserve requirements; contract form requirements; seller and administrator issues; and covered risk issues. He has experience advising clients on complex regulatory classification issues involving new product development under laws governing residential service contracts (home warranties), service contracts (extended warranties), identity theft protection, vehicle protection products, insurance, and express or limited warranties (including compliance with the federal Magnuson-Moss Warranty Act).

Jon’s administrative law experience also extends to government disputes, including preliminary investigations, civil investigative demands, notices of alleged violations, warning letters, consent orders, and related confidentiality issues.

• Formed and licensed multiple domestic surplus lines insurance companies.
• Advised insurance companies on various holding company act filing and compliance issues, including Form As (changes of control), Form Bs (registration statements), Form Ds (affiliate agreement approvals), and Form Fs (enterprise risk reports).
• Formed and licensed multiple captive insurance companies and advised clients on regulatory and formation issues arising under Texas captive insurance statutes and regulations.
• Represented clients with complaints, investigations, enforcement matters, consent order negotiations, and self-reporting matters involving the Texas Department of Insurance.
• Obtained regulatory approval for changes of control of insurance agencies, changes of control of third-party administrators, and mergers of insurance companies.
• Advised insurance companies on multiple compliance matters, including merger, reinsurance, change of control, statutory deposit, and rate and policy form issues.
• Advised clients on numerous service contract regulatory issues involving the Texas Department of Insurance and Texas Department of Licensing and Regulation.
• Represented adjusters, third-party administrators, and premium finance companies in licensing, change of control, and compliance matters involving the Texas Department of Insurance.

• Clifton Caldwell Texas History Day Service Award (2010)