Commodities, Securities, Derivatives, and Options Law

After working as a Senior Trial Attorney for the Commodity Futures Trading Commission’s (CFTC) Division of Enforcement from 1977-1980, Peter has been representing clients in the commodity futures, securities, options, and insurance industries in connection with investigations, enforcement and disciplinary proceedings, and lawsuits brought by the CFTC, Securities and Exchange Commission (SEC), National Futures Association (NFA), Financial Industry Regulatory Authority (FINRA) (formerly the National Association of Securities Dealers (NASD)), Chicago Mercantile Exchange (CME), Chicago Board of Trade (CBOT), Chicago Board of Options Exchange (CBOE), New York Stock Exchange (NYSE), Illinois Securities Department, Illinois Department of Insurance, and Wisconsin’s Office of the Commissioner of Insurance (OCI).

Peter J. Berman, Litigation and Arbitration

Peter recognizes the reputational harm his clients can suffer when the CFTC, SEC, state regulatory agencies, or Self-Regulatory Organizations (SRO) file a complaint against them. That harm, of course, is much greater when a client’s registration is revoked, suspended, or a substantial fine is entered against his clients. For these reasons, Peter’s primary goal is to show regulators why an enforcement proceeding should not be brought in the first place, or, if necessary, to negotiate a reasonable resolution of the case.

Peter also represents clients in civil litigation before Federal and State Courts and arbitration proceedings before the NFA, FINRA, American Arbitration Association (AAA), JAMS, and other forums involving futures, securities, and options. Peter recognizes the costs, time, and distractions his clients encounter when they have to deal with complex disputes. For this reason, Peter helps his clients understand the risks and rewards relating litigation and arbitration, and when appropriate, he works diligently to settle these disputes without the need for litigation or arbitration.

  • Sample Engagements

  • Investigations and Enforcement Proceedings

    • Alleged Market Manipulation
    • Alleged Insider Trading
    • Trader's Alleged Misuse of FCM's Electronic Trading Platform
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  • Litigation and Arbitration

    • Defending FCM against Trustee's Pre- and Post- Petition Claw Back Claims in Sentinel Bankruptcy
    • Defending Bank in Securities Fraud Class Action
    • Defending FCM in Case involving another Firm's PONZI Scheme
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  • Advice

    • Proprietary Algorithmic Automated High-Speed High-Frequency Trading Systems
    • Anti-Money Laundering Policies and Procedures
    • Rules relating to FOREX Dealer Members and RFEDs
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