James D. Van De Graaff

James D. Van De Graaff primarily represents broker-dealers, investment banks and market-making firms in the regulatory aspects of their business. He has more than 20 years of experience representing financial services clients in compliance reviews and training, mergers and acquisitions and responding to inquiries or investigations involving the US Securities and Exchange Commission (SEC) and securities self-regulatory organizations.

Formerly the general counsel of a full-service, regional securities broker-dealer and New York Stock Exchange member firm, James advises clients on internal risk monitoring and controls, registration issues, internal investigations, equity and options trading issues and preparation of written supervisory procedures and new account documentation. James also represents both clients and their associated persons before the SEC, self-regulatory organizations and state securities regulators in investigations and enforcement proceedings.

James is a frequent speaker at industry conferences and events.

Good to know

Areas of Practice 1) Securities, 2) Broker-Dealers, 3) Structured Products, 4) Financial Services Regulatory and Compliance, 5) Proprietary Trading Firms and 6) Financial Services Litigation
Law School Georgetown University Law Center (J.D.)
Education Brigham Young University (B.S.)
Bar Member / Association Illinois State Bar Association
Most recent firm Katten Muchin Rosenman LLP
A. Harrison Barnes
A. Harrison Barnes

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Alan Singer
Alan Singer

Alan Singer is a partner in Morgan Lewis's Securities Practice. Mr. Singer advises companies with regard to a diverse range of corporate and securities matters.

Andrew Hamilton
Andrew Hamilton

Andrew Hamilton is a partner in Morgan Lewis's Business and Finance Practice. Mr. Hamilton practices in the areas of mergers and acquisitions, private equity and venture capital, securities law, and general corporate counseling.