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lawyer - 38 years' experience - transactions and litigation

Madison, Wisconsin, United States
August 20, 2018

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MOBILE: 630-***-****

** *****’ legal and business experience includes a variety of U.S., UK and German legal matters, including CFTC and SEC regulatory matters, futures law, securities law, and intellectual property law. Currently of counsel with McBreen & Kopko, a Chicago litigation and transactional law firm. I focus on accomplishing client objectives in a pragmatic manner. Began career as attorney/economist with CFTC and NFA, then gained experience in transactions and litigation with law firms and running trading firms. Former partner of a CBOE/NASD/NFA member firm. PRACTICE AREAS

Significant Litigation and Counseling/Transactional work in the following areas: Securities, Futures and Corporate Law

- Represented brokers, traders, and advisors before CFTC, SEC, FINRA, NFA, CME, CBOE, and NYSE regarding registration and compliance requirements; compliance manuals, promo material review

- Drafted public and private securities offerings (S- forms, Form ADVs) and other filings, formed companies, advised on partnership and corporate taxation issues

- Assisted clients in FINRA, NFA and RIA registration filings and compliance issues

- Defended CFTC registrants in administrative proceedings and Federal courts; conducted large complex futures and securities fraud litigation, complex compliance issues

- Represented parties in FCM bankruptcies and receiverships

- Co-counseled in class action litigation involving U.S. and international investments

- Discovery and forensic analysis and tracing of international funds transfers

- Co-counseled in class action consumer fraud litigation Intellectual Property Law

- Obtained US and Europe trademark registrations; advised on U.S. intellectual property protection

- Advised on venture capital investments in computer and software products

- Conducted Federal litigation involving trademarks and IP licensing

- Provided domestic and international asset protection counseling Other General Commercial Practice

- Represented investors in shareholder disputes and commercial litigation

- Formed U.S. corporations, LLCs and partnerships and offshore companies in Bahamas, BVI, and Caymans

- Conducted bankruptcy litigation in federal Bankruptcy court in several districts. Represented bankruptcy trustees in fraudulent conveyance actions, represented creditors in insolvencies and receiverships

- Represented financial institutions (lenders) in tax deed, mortgage foreclosures International Transactions and Litigation

- Represented European clients on securities and commercial matters related to U.S. investing

- Advised on US tax, securities and corporate issues of European businesses

- Represented European plaintiffs in international financial frauds; special appearances, German and Swiss proceedings EDUCATION

University of Wisconsin-Madison: two M.As. in Economics, Public Policy/Administration; J.D., Law (1980) University of Illinois-Urbana-Champaign: B.S., (honors), Economics (1974) REGULATORY EXPERIENCE

Commodity Futures Trading Commission, Washington, D.C. Attorney/Economist, Division of Economics, and Attorney, Office of General Counsel. Wrote rules. Analyzed Exchange contract market rule proposals. Conducted Exchange market surveillance and administrative litigation.

National Futures Association, Chicago, Illinois. Staff Attorney. Drafted compliance rules. Compliance enforcement actions and arbitrations. Regulatory liaison with SEC and NASD. OTHER PROFESSIONAL ACTIVITY

Lecturer on Futures Law, John Marshall Law School, Chicago, Illinois (1989-1991) Lecturer on Futures Regulation, University of Illinois, Agricultural Economics (1983) Admitted to practice in Illinois, U.S. District Court of Northern District Illinois, U.S. Southern District of New York, U.S. District Court for Nevada; U.S. Court of Appeals for 7th Circuit Appeared in German civil and criminal courts as special counsel on American law

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