James D. Van De Graaff

James D. Van De Graaff focuses his practice on financial services with an emphasis on the regulation of broker-dealers. Mr. Van De Graaff joined the firm after having served as General Counsel of a full service, regional securities broker/dealer and New York Stock Exchange member firm headquartered in Chicago.

Mr. Van De Graaff represents a number of securities broker/dealers with respect to a variety of compliance, regulatory and enforcement issues. His clients include large, multi-national investment banks as well as regional and specialty broker-dealers and market making firms. His representation of those clients includes compliance reviews and training relative to sales and trading practices, market making, research and investment banking activities, internal risk monitoring and controls, registration issues, internal investigations concerning possible rule violations, conducting of continuing education-firm element training, preparation of written supervisory procedures, new account documentation, general regulatory advice and representation of both clients and their associated persons before the Securities and Exchange Commission, self-regulatory organizations and state securities regulators in investigations and enforcement proceedings. He also regularly represents financial services clients in connection with mergers and acquisitions. He has made presentations on broker-dealer regulatory and market structure issues at numerous industry conferences, including the Compliance and Legal Division of the Securities Industry Association and the Law and Compliance Division of the Futures Industry Association. Mr. Van De Graaff is listed in the 2008-2012 editions of The Best Lawyers in America.

Mr. Van De Graaff earned his B.A., with honors, in Political Science from Brigham Young University (1983) and his J.D. from Georgetown University Law Center (1987). He is admitted to practice in Illinois (1987).