James Lundy


Partner

Drinker Biddle & Reath LLP


James G. Lundy represents clients in Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), self-regulatory organization, and other financial regulatory agency investigations and examinations, and compliance and governance counseling, white collar criminal investigations, and complex business litigation. With 12 years of senior SEC experience and more than two years of in-house experience at a futures and securities brokerage firm, Jim has developed an in-depth working knowledge of the various regulatory bodies with enforcement, examination, and policy oversight of the securities and futures industries. Jim co-maintains Drinker Biddle?s SECurities Law Perspectives Blog, which provides reports, discussions, and analyses on noteworthy trends in the enforcement and regulatory activities of the SEC, CFTC, and other financial regulatory agencies. During his time with the SEC, Jim worked at supervisory levels in both the Enforcement Division and the Office of Compliance Inspections and Examinations (OCIE). After nine successful years with the Enforcement Division as a senior trial counsel and a branch chief, Jim spent his final three years with the SEC as a senior regulatory counsel in OCIE and assisted with operating the SEC?s brokerdealer examination program for the Midwest region. Prior to joining the firm, Jim served as an associate general counsel at a futures and securities brokerage firm affiliated with a European-based global bank, where he handled representations before the CFTC, SEC, FINRA, Chicago Mercantile Exchange (CME), National Futures Association (NFA) and Chicago Board Options Exchange (CBOE) in matters involving complex futures, derivatives and securities trading and transactions. Jim taught securities regulation at Loyola University for 11 years


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