Litigation and Arbitration

• Representation of hedge fund in connection with a $50 million securities dispute involving residential mortgage-backed securities.
• Representation of national insurance brokerage company in an Illinois state court raiding and trade secret case.
• Representation of a managing director of a major New York broker-dealer in a $900 million securities arbitration alleging fraudulent analyst research involving WorldCom.
• Representation of a major New York broker-dealer and one of its former managing directors in a $450 million securities fraud arbitration involving a series of allegedly improper hedging transactions in the over-the-counter derivatives markets.
• Representation of a well-known New York real estate developer in a lawsuit alleging that "hotel condominium units" were marketed and sold as unregistered securities.
• Representation of a major New York broker-dealer in a $10 million federal jury trial involving alleged securities fraud in connection with complex futures and derivative transactions on both the CME and Globex.
• Representation of a major New York broker-dealer in a multimillion-dollar CFTC Reparations proceeding alleging improper use of "held" versus "not held" orders in liquidating large equity futures positions.
• Representation of a director of a $1 billion international public company in a federal shareholder securities fraud class action.
• Representation of several hedge funds in connection with market timing investigations and related civil litigation.
• Representation of hedge funds in federal and state civil actions brought by insurance companies seeking to prevent hedge funds from using variable life policies as an investment platform.

Enforcement and Internal Investigations

• Representation of a privately held insurance company and its principal in connection with a securities investigation by the Texas State Securities Board involving life settlements.
• Representation of a public company in an internal investigation and companion SEC investigation concerning possible misappropriation of assets, invalid registration, issuance of employee stock to consultants, manipulation, and other improper conduct by the former CEO and other outside parties.
• Representation of a high-profile registered representative at a major Wall Street investment bank in a variety of regulatory and civil investigations and proceedings before the SEC, NASD, NYSE, and New York Attorney General's office, as well as in a number of customer arbitrations and civil actions.
• Representation of a public company CFO in connection with an SEC investigation of complex accounting fraud and earnings management issues involving treatment of advertising expenses.
• Representation of a well-known online stock analyst in an SEC civil action seeking penalties under the Investment Advisers Act.
• Representation of a private oil and gas company in connection with a regulatory investigation by the Texas State Securities Board.
• Representation of a branch manager of a major New York broker-dealer in an SEC administrative enforcement action alleging failure to supervise a stock broker who engaged in a Ponzi scheme.
• Representation of a Fortune 500 company director in connection with an SEC insider trading investigation involving a series of exchange fund transactions.

General Counseling and Compliance

• Representation of hedge funds and investment advisers involving ongoing general counseling and compliance services.
• Representation of a hedge fund in connection with a prime broker dispute regarding margin liquidation and related trading issues.
• Representation of a family office/fund of funds in connection with a hedge fund dispute over the fund manager's misrepresentations regarding investment strategy and failure to diversify life settlement investments.
• Representation of a family office/fund of funds in connection with a due diligence investigation of sub-managers and underlying hedge funds.
• Representation of a hedge fund in connection with an accounting dispute over treatment of hedging gains and losses and related SWAP issues.
• Representation of a hedge fund in connection with CDO and CDO²issues.
• Representation of a hedge fund and its registered investment advisor in connection with an SEC audit.
• Representation of a hedge fund in connection with investor relations and related redemption issues.
• Representation of a hedge fund in connection with trading losses involving subprime mortgage-backed securities.
• Representation of a hedge fund in connection with investor's threatened claim for "selective disclosure" in connection with thwarted redemption.

Presentations

• First Chair Awards Conference & Gala, Panelist, "The Future of the Profession: How the Legal Profession Must Embrace Working Differently, Changing the Law Firm Model, and Innovation," August 2014
• Southern Methodist University Dedman School of Law, Guest Lecturer, "Due Diligence in Business Transactions," October 2013
• ACC Presentation, "Protecting Your Client from the Board Room to the Court Room," April 2012
• Legal PR Chicago, "PR Through the Eyes of the Lawyers," June 2010
• Hot Topics: Financial Services Update 2009, "Broker-Dealer and Investment Advisor Issues," December 2009
• NSCP Midwest Regional Conference, "Investor and Fiduciary Due Diligence Practices Post-Madoff: Trends and Best Practices," April 2009
• NSCP National Meeting, "Hedge Funds and Insider Trading - Managing Non-Public Information," October 2008
• NSCP Midwest Regional Meeting, "Workshop on Litigation and Enforcement Actions Surrounding Hedge Funds and Other Alternative Investments," May 2008
• Illinois Securities Industry Association, "Regulatory Convergence of Investment Advisers and Broker-Dealers," January 2008
• Opal Alternative Investing Summit, "Hedge Fund Enforcement and Regulatory Developments," December 2007
• NSCP Midwest Regional Meeting, "Internal Exams and Audits," April 2007

Publications

• "Market Abuse and Insider Dealing, U.S. Issues," Investment Management: Law and Practice, Oxford University Press, 2010
• "The Post-Madoff Emergence of a Fiduciary Duty of Due Diligence - Recent Regulatory Enforcement Actions and Their Impact on Best Practices for Investment Managers," Practical Compliance and Risk Management for the Securities Industry, September 2009
• "The Reyes Backdating Conviction: What's Next for Criminal Defendants and Civil Litigants?" Volume 23, Issue 7, of Corporate Officers & Directors Liability and Volume 22, Issue 7, of Delaware Corporate, October 2007
• "Legal Affairs: Hedge Your Liabilities - Tips for Preventing Hedge Fund Manager Liability," Smart Business Magazine, October 2007
• "Legal Affairs: Above Board - Protecting Yourself from SEC Violations," Smart Business Magazine, April 2007

• The Chicago Inn of Court, Master of the Bench, 2016-Present
• Park District of Highland Park; Commissioner, 2010-2011; Board President, 2011-2017
• Federal Public Defender Program, Chicago, IL, Past Participant

• The Attorney Intel Report, 2023, Listed as one of the “Top 50 Law Firm Executives" 
• The Best Lawyers in America, 2023-2024, Listed in Illinois for Litigation – Securities; 2009-2021, Listed in Illinois for Arbitration and Mediation
• Super Lawyers Magazine, 2020-2024, Listed in Illinois for Business Litigation
• Super Lawyers Magazine, 2007, 2015-2019, Listed in Illinois for Securities Litigation
• Crain’s Chicago Business, 2022, Listed as one of “Chicago’s Notable Gen X Leaders in Accounting, Consulting and Law” 
• Georgetown University Law Center, John M. Olin Law and Economics Fellowship