Mr. Lundy brings significant experience in the areas of financial regulatory investigations, white collar defense, compliance and governance, and complex business litigation. In his 12 years with the SEC’s Chicago Regional Office, from 2002 to 2014, Mr. Lundy worked at supervisory levels in both the Enforcement Division and the Office of Compliance Inspections and Examinations.
“Over the course of his career, Jim has acquired unique experience that will enhance our ability to represent clients in financial regulatory investigations and complex business litigation,” said Andrew C. Kassner, Chairman and CEO of Drinker Biddle. “He boosts the capabilities of our Litigation Group as we continue the expansion of our team in Chicago.”
During his tenure as a Senior Trial Counsel and as a Branch Chief with the SEC’s Enforcement Division, the FBI awarded Mr. Lundy for “Exceptional Service in the Public Interest” for his leadership of a parallel investigation of Ferris, Baker Watts, Inc. and the IPOF Fund. The investigation resulted in eight SEC actions, three criminal convictions and the SEC’s first trial and appeal of an action against a general counsel for failing to supervise.
After nine years with the Enforcement Division, Mr. Lundy worked directly with the Associate Regional Director as a Senior Regulatory Counsel and assisted with operating the SEC’s broker-dealer examination program for the Midwest Region. In this role, he worked closely with the Commodity Futures Trading Commission and the FBI in their investigations into the failure of MF Global.
Most recently, Mr. Lundy was an Associate General Counsel at a futures and securities brokerage firm affiliated with a European-based global bank, where he handled representations before the SEC, CFTC, FINRA, CME, CBOE and NFA in matters involving complex futures, derivatives and securities trading and transactions.
“Jim’s supervisory SEC experience augments our strong Chicago white collar defense and investigations practice,” said Michael W. McTigue Jr., Executive Partner and Chair of the Litigation Group. “His in-depth knowledge of financial litigation matters will be of great value to our clients and we’re excited to have him join our team.”
Mr. Lundy received his law degree and MBA from DePaul University and holds a bachelor’s degree from the University of Illinois at Urbana-Champaign.