Marty concentrates his practice on regulatory, corporate and litigation matters for every type of futures and securities registrant. He utilizes his years of in-house experience as General Counsel for a Futures Commission Merchant, a licensed security futures exchange and a registered Broker Dealer/Automated Trading System, to provide practical advice aimed at achieving his clients’ goals. Over his twenty-five years as a financial services attorney, Marty has successfully represented a variety of individuals and firms in matters before the National Futures Association (“NFA”), the Commodity Futures Trading Commission (“CFTC”), the Financial Industry Regulatory Authority (“FINRA”), the Securities and Exchange Commission (“SEC”), the United Kingdom’s Financial Services Authority (“FSA”), the Hong Kong FSA, and various financial exchanges. Marty’s expertise includes advising on securities and futures registration, regulatory and compliance matters, arbitration, disciplinary proceedings, employment matters, non-compete agreements, non-disclosure agreements, contract negotiation, intellectual property and more.
Honors and Achievements
With over 25 years of financial services experience, Marty has been qualified as an expert witness on several occasions, spoken at numerous industry conferences and has also testified before the United States Congress, House of Representatives Agricultural Committee. Additionally, he serves as an arbitrator for the National Futures Association and is a member of NFA’s Hearing Committee. At various times over the course of his career, Marty has held Series 3, 7, 24, 30 and 63 licenses.
Marty earned a Bachelor of Arts (B.A.) degree in English from St. Mary’s University in Winona, Minnesota and received his law degree from John Marshall Law School in Chicago. He also attended the Institute for the Study of Comparative Law at Trinity College in Dublin, Ireland.
Marty began his legal career with the firm Abramson & Fox where he focused on litigation/arbitration as well as regulatory and registration matters for both futures and securities registrants. He then became General Counsel to Lind-Waldock & Company, which at the time was the world’s largest discount futures broker. Marty then served as President and General Counsel for the SEC and CFTC licensed security futures exchange known as OneChicago, LLC, a joint venture owned by the Chicago Mercantile Exchange, the Chicago Board options Exchange and Interactive Brokers Group.
Immediately prior to joining the firm, Marty served as General Counsel and Chief Compliance Officer for Quadriserv, Inc., a New York based Broker Dealer and Automated Trading System where he was responsible for all of the firm’s legal, regulatory and compliance matters.