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.