Located in Chicago, Fata Law is uniquely situated to handle an increased volume in complex investigations and enforcement actions on “home turf” for key regional financial regulators:

  • SEC Midwest Regional Office (Operating budget up 53% cf 2015)
  • FINRA Midwest Regional Office (Op. budget up 22% cf 2015)
  • CFTC Midwest Regional Office (Op. budget up 24% cf 2015)
  • CME Market Regulation Department
  • CBOE Market Regulation Department
  • DOJ Financial Markets Fraud Task Force

Practice Areas

SEC & FINRA DEFENSE

Fata Law has successfully defended securities traders, brokers, advisors and broker-dealers in investigations and enforcement actions arising from the federal securities laws, SEC rules and FINRA rules. He has obtained favorable results for clients in the early investigation stages as well as after the commencement of trial.

CFTC, NFA and COMMODITY EXCHANGE DEFENSE

Fata Law has successfully defendants commodity futures and options traders and trading firms in matters arising from the Commodity Exchange Act, including cases involving alleged manipulation and failure to supervise traders.

OUTSIDE COMPLIANCE & COUNSEL

Fata Law helps broker-dealers, investment advisers and trading firms optimize written supervisory procedures, compliance personnel awareness and employee training to maximize adherence to complex financial industry regulation. 

EXECUTIVE GUIDANCE

Fata Law provides strategic and legal guidance to financial industry executives and managers who are navigating challenging internal business, compliance and legal issues.

INVESTOR CLAIMS

Fata Law represents financial firms and investors in disputes arising from broker-dealer and investment advisory relationships. Mr. Fata has successfully defended claims by investors against industry members. He has recovered millions on behalf of investors pursuing claims against financial firms. His experience on both sides of these types of cases allows him to evaluate risk and optimize early settlement opportunities or craft arguments for trial.

BUSINESS LITIGATION

Fata Law has successfully represented businesses and business owners pursuing and defending claims for breach of contract, fraud, tortious interference, Commercial Code and other issues.