- Commodities, Futures & Derivatives
- Regulatory Enforcement Defense
- Securities & Complex Commercial Litigation
- Broker-Dealer Advisory & Counseling
- J.D., University of Richmond School of Law, 1996
- B.A., College of William and Mary, 1993
- New York
- U.S. Supreme Court
Harris Kay represents financial services firms and individuals in a wide range of registration, compliance, regulatory and litigation matters.
Mr. Kay also counsels futures commission merchants, introducing brokers, broker-dealers, investment advisers, commodity pool operators and commodity trading advisors in regulatory inquiries, investigations and enforcement proceedings before the CFTC, SEC, FINRA, and various exchanges.
He regularly defends participants in the securities and futures industries in federal and state court litigation and in CFTC registration proceedings, as well as in arbitration before FINRA and NFA.
His experience includes serving as a partner in the financial services practice group in the Chicago office of a large international law firm.
Mr. Kay also previously served as an adjunct professor at the University of Richmond, and has written and presented on numerous litigation and regulatory issues. He also serves on the Board of Directors of a Chicago-based manufacturing company.
- Chicago – Lincoln American Inn of Court
- Member and past meeting chair and pupilage program chair
- Chicago Bar Association
- Financial Investment Services Committee, member and past chair