55 West Monroe Street
Chicago, Illinois 60603
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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 and the Chicago Board Options Exchange 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.
John and his family live on the northwest side of Chicago. An enthusiastic (but slow) middle distance runner, he keeps hoping to improve his time in the one-mile race.
Chicago-Kent College of Law, LL.M. in Financial Services Law with high honors
The John Marshall Law School, J.D. cum laude
Yale University, B.A.
*Cryptocurrencies: What Are The SEC and CFTC Doing In This Space? December 2017
*CFTC and Exchange Enforcement Update, June 2017
*Regulation AT: Where We Are Now, October 2016
*Regulation AT – What You Need to Know About the CFTC’s Proposed Rules for Algorithmic Trading, December 2015
*The Flash Crash and Market Structure Reform, May 2015
*High Frequency and Algorithmic Trading Issues, June 2014