John represents securities, futures and derivatives market participants, including brokerage firms, money managers, proprietary trading firms, and individual traders that are active on exchanges such as the CME Group exchanges, ICE Futures US and Cboe Options exchanges and in the over-the-counter (OTC) market. John handles regulatory, compliance, enforcement, transactional and arbitration matters.
John’s practice focuses on derivatives and securities. His clients include FCMs, broker-dealers, introducing brokers, execution firms, RIAs, CTAs, CPOs, proprietary trading firms and individual traders that are active on exchanges such as the CME Group exchanges, ICE Futures US, Cboe Options exchanges and in the over-the-counter (OTC) market. John provides a range of services for clients including handling regulatory, compliance, enforcement, transactional and arbitrational matters. He serves as outside general counsel for a number of trading firms, in which capacity he has handled everything from software development agreements to employment matters to exchange fee issues. He also regularly represents clients with respect to regulatory investigations and enforcement actions at both the SRO and federal level. John believes in providing practical and workable advice to his clients. Having been a registered floor broker who traded options on the floor of the CBOT, he has an understanding of trading as well as the issues traders and trading firms face in today’s regulatory environment.
John began his legal career with the Chicago Board of Trade legal department, then served as in-house counsel for O’Connor & Company LLC, the predecessor firm to ABN AMRO Clearing Chicago LLC, before going into private practice. He is a member, and a former chair, of the Chicago Bar Association Futures and Derivatives Law Committee. John often gives presentations on trading issues.
John taught in the Chicago-Kent College of Law Financial Services Law program on the regulation of securities and commodities professionals. He is a Martindale-Hubbell AV Preeminent rated attorney.