Jose Lopez

Litigation Partner Jose Lopez emphasizes securities litigation in his national practice. He advises companies, officers, directors, and trustees in complicated securities litigation and enforcement matters, involving both federal and state regulators. Jose draws upon his experience as a former senior enforcement attorney with the U.S. Securities and Exchange Commission (SEC) in representing his clients to achieve favorable results in civil securities proceedings and enforcement matters with the SEC, the U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Federal Trade Commission (FTC), Commodity Futures Trading Commission (CFTC), Illinois Securities Department, and other state regulatory agencies. Jose has also tried civil matters in federal and state court and in confidential arbitration proceedings.

Jose was recently appointed a Cook County special state’s attorney to represent the Cook County Board of Ethics to investigate and litigate ethical conduct violations by a Cook County elected official. The matter was successfully concluded with the Cook County Board of Ethics achieving all requested relief. Jose also has extensive experience in internal corporate investigations, particularly investigations relating to alleged violations of federal and state securities laws. He has investigated a multinational company’s compliance with Foreign Corrupt Practices Act (FCPA) bribery and books and records laws in Mexico, India, South Korea, Central America, South America, Europe, and South Africa.

During his tenure as a senior enforcement attorney with the SEC, Jose directed numerous high-profile investigations and litigations involving revenue recognition, financial statement and disclosure fraud, insider trading, prime bank schemes, and registration violations. He also served as a member of the SEC’s Cyberforce investigating claims of internet securities fraud.

Jose frequently speaks on panels regarding recent developments in securities litigation. The Illinois Supreme Court has appointed Jose to successive annual terms as a member of its hearing panel, which hears contested cases and makes recommendations for the discipline of lawyers charged with misconduct by the Attorney Registration and Disciplinary Commission of the Supreme Court of Illinois. Recently, the Illinois Supreme Court also appointed Jose for an annual term as a chair of its hearing panel.

As a former assistant state's attorney in Cook County, Jose successfully tried more than 40 cases and argued several cases before the Illinois Appellate Court.