Jose Lopez

Jose advises companies, officers, directors, and trustees in complicated securities litigation and enforcement matters involving both federal and state regulators. Jose also works closely with family office clients advising on fiduciary litigation and family office securities issues.

Jose draws upon his experience as a former senior enforcement attorney with the U.S. Securities and Exchange Commission (SEC) and as a former assistant state’s attorney in Cook County in achieving favorable results in civil securities proceedings and enforcement matters with the SEC, U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Federal Trade Commission (FTC), Commodity Futures Trading Commission (CFTC), and the Illinois Securities Department and other state regulatory agencies. Jose also tries civil matters in federal and state court and in confidential arbitration proceedings.

Jose has extensive experience in internal corporate investigations, particularly investigations of alleged violations of federal and state securities laws. He has investigated multinational companies' compliance with Foreign Corrupt Practices Act (FCPA) bribery as well as books and records laws in Mexico, India, South Korea, Central America, South America, Europe, and South Africa. 

During his tenure with the SEC, Jose directed 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.

The Illinois Supreme Court has appointed Jose to successive annual terms as a member of its hearing panel. As a former assistant state's attorney in Cook County, he successfully tried more than 40 cases and argued several cases before the Illinois Appellate Court. Additionally, he frequently speaks on panels regarding recent developments in securities litigation.