Securities, Commodities, and Exchange Industry Backgrounds

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Given the highly regulated nature of the securities and derivatives markets and industries, it is significant that many of the principal attorneys in our practice have extensive experience as regulators or self-regulators. The insight we provide is based on the experience our attorneys gained in the industry in the following positions:

  • Associate director of Market Regulation at the SEC
  • Chief counsel of the NASD (now FINRA) Market Regulation Department
  • General counsel of the Chicago Board of Trade
  • General counsel of the Chicago Stock Exchange
  • Senior vice president and associate general counsel of the Chicago Board of Trade
  • Chief examiner, Colorado Securities Division, and licensing and regulation examiner, Office of the Wisconsin Commissioner of Securities