James Lundy

Experience

A former Securities and Exchange Commission (SEC) enforcement supervisor and senior trial counsel, James (Jim) Lundy empowers public companies and financial services firms to overcome investigations by enforcement regulators while preserving their reputations and stakeholder relationships.

Jim is a partner and litigator within the Securities Enforcement & Litigation Practice Group at Foley & Lardner LLP, based in the firm’s Chicago office. He helps protect clients under investigation by the SEC, Commodity Futures Trading Commission (CFTC), and other regulatory bodies by leveraging his experience working in the SEC’s Division of Enforcement for almost a decade. He spent the last several years of his service with the SEC helping lead the Division of Examinations program in the Midwest.

Public companies and their boards of directors, investment advisers, broker-dealers, hedge and private equity funds, investment banks, futures trading firms, and the leaders of these organizations regularly turn to Jim for counsel. He has helped clients resolve high-stakes SEC and other regulatory investigations with no charges filed, and he has lowered enforcement settlement demands by hundreds of millions of dollars. Jim also leads internal investigations; serves as an independent monitor; provides counsel on governance, compliance, and policy issues; handles cybersecurity regulatory investigations; and defends clients in complex financial services litigation.

Jim also is an active member of the following firm practice areas: Government Enforcement Defense & Investigations (GEDI), and Fund Formation & Investment Management. Additionally, he is a member of the firm’s Cannabis, Digital Assets, Web3, & NFT (DAWN), and Sports & Entertainment Industries and the Innovative Technology Sector.