Harris L. Kay focuses his practice on counseling financial services firms and individuals regarding a wide variety of registration, compliance, regulatory and litigation matters. He represents futures commission merchants, introducing brokers, broker-dealers, forex firms, investment advisers, commodity pool operators, and commodity trading advisors in regulatory inquiries, investigations, and enforcement proceedings before CFTC, SEC, FINRA, NFA and various exchanges. Harris regularly defends industry participants in federal and state court litigation and in CFTC reparations proceedings, as well as in arbitration before FINRA and NFA.
