Peter Jeffrey Berman

 

After working as a Senior Trial Attorney for the Commodity Futures Trading Commission’s (CFTC) Division of Enforcement from 1977-1980, Peter has been advising clients about regulatory matters relating to futures, options, securities, derivatives, and insurance matters and representing clients them in connection with investigations, enforcement and disciplinary proceedings 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 recognizes the harm his clients’ reputations can suffer when the CFTC, SEC, state regulatory agencies, or Self-Regulatory Organizations (SRO) merely file a complaint against them. That harm increases substantially when a client’s registration is revoked, suspended, or a substantial fine is entered against him. 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 in arbitration proceedings before the NFA, FINRA, American Arbitration Association (AAA), JAMS, and other forums involving futures, securities, options, and derivatives. He understands the costs, time, and distractions that his clients encounter when they have to litigate complex disputes. Peter helps his clients understand the risks and rewards relating litigation and arbitration, and when necessary, he works diligently to settle these disputes without the need for litigation or arbitration.