James G. Lundy represents clients in financial regulatory investigations, financial services compliance and governance, white collar criminal investigations, and complex business litigation.

With 12 years of senior Securities and Exchange Commission (SEC) experience and more than two years of in-house experience at a futures and securities brokerage firm, Jim has developed an in-depth working knowledge of the various regulatory bodies with enforcement oversight of the securities and futures industries.

During his time with the SEC’s Chicago Regional Office, from 2002 to 2014, Jim worked at supervisory levels in both the Enforcement Division and the Office of Compliance Inspections and Examinations (OCIE). After nine successful years with the Enforcement Division, Jim spent his final three years with the SEC as a Senior Regulatory Counsel in OCIE and assisted with operating the SEC’s broker-dealer examination program for the SEC’s Midwest Region.

Most recently, Jim was an Associate General Counsel at a futures and securities brokerage firm affiliated with a European-based global bank, where he handled representations before the SEC, Commodities Futures Trading Commission (CFTC), FINRA, Chicago Mercantile Exchange (CME), National Futures Association (NFA) and Chicago Board Options Exchange (CBOE) in matters involving complex futures, derivatives and securities trading and transactions.

From 2004 to 2014, Jim taught Securities Regulation at Loyola University.