Jim Lundy (Moderator - Enforcement Panel)
Jim Lundy offers clients a rare combination of senior experience both at the Securities and Exchange Commission (SEC) — in the Division of Enforcement and the Division of Examinations — and in-house at a financial services firm. Jim draws from this background to empower clients to overcome enforcement investigations, examinations and litigation brought by the SEC, the Commodity Futures Trading Commission, self-regulatory organizations and other financial regulatory agencies.
Jim also leads internal investigations, serves as an independent monitor, provides counsel on governance, compliance and policy issues, defends complex financial services litigation, handles cybersecurity regulatory investigations, and defends parallel criminal investigations by the Department of Justice. Jim is the co-leader of his firm’s White Collar Defense and Investigations practice and a co-founder/co-leader of the firm’s Best Interest Compliance Team.