James G. Martignon counsels clients in the investment management, broker-dealer and financial services industries on regulatory enforcement proceedings and investigations, including proceedings by the U.S. Securities & Exchange Commission (SEC), FINRA, state securities regulators and other government entities.
James assists clients with compliance and regulatory risk management and represents them in complex civil and securities litigation. James represents investment advisers, broker-dealers and financial services firms and professionals in regulatory proceedings and complex civil litigation, involving :
- Alleged Ponzi schemes and insurance fraud
- Selling away activities by registered representatives
- Sales, supervision and product due diligence of fixed-income products
- Failed advisory firms
Before his legal career, James worked as a financial analyst in international finance and consulting, including in the former Soviet Union and Eastern Europe.
- Washington University School of Law, J.D. (2002)
- Georgetown University, B.S.F.S. (1991)
Bar Admissions : Illinois
Court Admissions :
- U.S. District Court for the Northern District of Illinois
- U.S. Court of Appeals for the Seventh Circuit
Professional Associations : National Society of Compliance Professionals
Rate : $$$