Due to the heavy regulatory presence in the securities, futures and other investment markets, brokers and other financial professionals are subject to oversight by numerous agencies. While maintaining a positive reputation among one's colleagues is often at the forefront in the minds of many, issues with registration with relevant regulatory bodies or disciplinary proceedings can result in the outright loss of the privilege to remain in business.
Attorney James A. McGurk is experienced in handling issues related to regulation of brokers and other professionals. Having served as senior trial counsel at the Commodity Futures Trading Commission (CFTC) among other high-profile positions, Mr. McGurk maintains exceptional knowledge of the regulation of the securities and futures industry. When clients in the Chicago area are targeted for disciplinary actions by regulatory bodies such as the CFTC, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) or others, Mr. McGurk assists clients with navigating the disciplinary process and allowing them to continue working.
Individual brokers as well as brokerage firms are required to register with particular agencies, such as the SEC and FINRA. In some cases, often following FINRA arbitration, regulatory agencies will be alerted to potential grounds for professional discipline. A determination that a professional engaged in improper activities or other actionable behavior can result in his or her license being suspended or revoked.
As a lawyer in solo practice, Mr. McGurk is able to invest his considerable experience in the securities and futures field in providing legal counsel of the highest caliber to each of his clients. He understands that his clients' professional reputations and ability to remain in business depend on a favorable resolution to disciplinary proceedings. In evaluating a case, Mr. McGurk may strategically decide to pursue settlement with the relevant agency, while in others it will be best to work to prevail on the claim. In all cases, Mr. McGurk endeavors to keep his clients in business.
Attorney James A. McGurk applies his decades of skilled experience in securities law and white collar criminal defense to assist his clients in maintaining their professional status. Schedule a consultation to discuss your legal needs: Contact Mr. McGurk via email or call 312-236-8900 for a free, confidential consultation at his downtown Chicago office.