Securities and Commodities Practice Area

Tressler, Soderstrom, Maloney & Priess,’ LLP Securities and Commodities Litigation group is a part of the firm’s Corporate Practice group employing the same “team approach” philosophy to this area of the firm’s commercial practice.

Our attorneys represent public customers and securities and commodity futures industry registrants in arbitration, mediation, SEC, CFTC and securities and commodity futures industry self-regulatory organization (“SRO”) investigatory, disciplinary and enforcement proceedings, as well as in administrative, federal and state judicial fora. Our experience includes: compliance issues, regulatory investigations, customer disputes, registered representative restrictive covenant, contract and compensation issues and a wide variety of shareholder disputes. We regularly appear in adversarial proceedings before the Securities and Exchange Commission, Commodity Futures Trading Commission, Financial Industry Regulatory Authority, Inc., New York Stock Exchange, Inc., Chicago Board Options Exchange, Inc., National Futures Associations, Chicago Board of Trade and the Chicago Mercantile Exchange.

Several of our attorneys are also certified securities and commodities arbitrators and mediators.

Partner Participants

James Borcia Jacqueline Criswell Daniel Formeller

Securities and Commodities Related Articles

Request Copies of Articles or More Information on our Practice Areas

Tressler, Soderstrom, Maloney & Priess, LLP would be happy to supply a copy of its publications upon request.

Please contact:

Karna Pruiett
Marketing Coordinator
kpruiett@tsmp.com
233 S. Wacker 22nd Floor
Chicago, IL 60606
(312) 627-4146