Robert P. Bramnik

Robert Bramnik represents clients in a broad range of financial services areas in the securities, futures and derivatives markets, including strategic business planning, participation in new markets, design and implementation of trading and investment products and strategies, and in related litigation. He also represents professionals in the securities and futures industries in connection with a variety of regulatory and compliance matters.

Mr. Bramnik is a member of the American and Illinois State bar associations and The Association of the Bar of the City of New York. He is a fellow of the Illinois Bar Foundation and is a member of the Legal and Compliance Division of the Securities Industry and Financial Markets Association (“SIFMA”).

Mr. Bramnik also has served as an arbitrator for the Financial Industry Regulatory Authority and for the National Futures Association. He is a member of the Probable Cause and Business Conduct Committees of the Chicago Board of Trade and the Chicago Mercantile Exchange, a member of the Hearing Board of the National Futures Association and a member of the Advisory Board of the Journal of Investment Compliance.

Mr. Bramnik has spoken on financial services-related issues for the Securities Industry Association and the American Bar Association. During 2009, 2010 and 2011, he spoke on litigation and enforcement matters, and during 2008, he spoke on the topic of new regulatory developments in the private funds area at the Winter Meeting of the American Bar Association’s Committee on the Regulation of Futures and Derivatives Instruments.

He also chaired and spoke on best practices for hedge funds and their sponsors at a number of conferences for the managed funds industry. He presented an article at the Winter Meeting of the American Bar Association (2003) on the issue of Clearing Firm Liability and at the Legal & Compliance Seminar of the Securities Industry Association regarding Continuing Education in the Securities Industry.

He served as chairman of the Illinois Advisory Committee on Commodity Regulation throughout most of its tenure and was the author of related amendments to the Illinois Securities Law.

Representative Matters:

• Advised the sponsors of a new “Master” Investment Advisory and Management firm on organizational and regulatory matters and in creating documentation for its advisory business (2012).
• Assisted in the development and documentation of a multinational investment advisory and management family of companies (2012).
• Restructured a private hedge/trading fund specializing in derivatives and options products (2010).
• Represented the principals of a major proprietary trading organization in a corporate reorganization and restructuring, including the formation and regulatory qualifications of a series of domestic and non-U.S. trading firms (2007-2008).
• Represented the sponsor and advisor of an existing hedge fund in a reorganization (2007).
• Represented an investment-advisory firm and its principals in the formation and regulatory qualification of an investment-banking affiliate (2006).
• Represented an overseas FOREX (foreign exchange) dealer in the negotiation of an unprecedented settlement with the U.S. Commodity Futures Trading Commission involving the dealer’s access to U.S. markets (C.F.T.C. v. O.C.M. Online Global Markets, ND ILL, 2013).
• Represented the purchaser of a broker-dealer specializing in the real estate sector, in documenting and completing the purchase and in obtaining regulatory approval for the ownership and management changes (2010-2011).
• Represented a broker-dealer that specialized in the distribution of proprietary managed investment funds in an extensive regulatory investigation, and enabled the client to settle lesser administrative charges by FINRA rather than charges alleging fraud and/or manipulation (2009).
• Represented a multifaceted broker-dealer that sponsored an ECN in an investigation by FINRA and negotiated a resolution of that investigation (2007-2008).
• Conducted an internal investigation at an electronic marketplace/broker dealer and recommended remedial actions which ultimately permitted the client to avoid prosecution and other discipline (2007).

Professional Activities:

• Illinois Bar Foundation
• American Bar Association
• The Association of the Bar of the City of New York
• Chicago Board of Trade, 2008-present
• Chicago Mercantile Exchange, 2008-present
• Securities Industry and Financial Markets Association