Jim Lundy is a partner and litigator within the Securities Enforcement & Litigation Practice Group at Foley & Lardner LLP, based in the firm’s Chicago office. Jim successfully resolves high-stakes enforcement matters by drawing on his deep technical insights and emotional intelligence.
Jim seeks to protect the reputations and stakeholder relationships of his clients under investigation by the Securities and Exchange Commission and other regulatory bodies, leveraging his experience working in the SEC’s Division of Enforcement for almost a decade. Jim spent the last several years of his service with the SEC helping lead the Division of Examinations program for the Midwest region. His clients include 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. 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; defends clients in complex financial services litigation; and serves as an independent monitor.
