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John Ruark
Paul Uhlenhop
Michael Wise
Members of our Commodities & Futures and Securities practice groups have successfully represented clients in investigations and enforcement proceedings before an array of agencies and self-regulatory organizations, including the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission, the Financial Industry Regulatory Authority (FINRA ), the New York Stock Exchange (NYSE), the National Futures Association (NFA), the Chicago Board Options Exchange (CBOE), the Chicago Mercantile Exchange (CME) and the Chicago Board of Trade (CBOT). These investigations and proceedings have related to a wide range of activities by members of the financial services community, including broker-dealers and FCMs, their individual officers, directors and employees, and the industry professionals, such as auditors, who advise them.
Much of our success is due to the professional experience of the members of our practice groups. These attorneys not only have decades of experience representing members of the financial services industry before regulatory authorities, but also have worked as counsel for the SEC and/or for some of the exchanges conducting inquiries. The depth of their experience assists us in anticipating the direction of investigations and enforcement proceedings and in structuring resolutions with regulators.
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