Rick

Backed by a 30-plus-year career on the legal and regulatory side of financial markets, Rick Reibman is an insightful advisor to trading firms, brokerage firms, trade execution firms and investment managers in the futures, commodities, securities and options markets.

He also regularly advises companies on business formation, strategic transactions, agreements, corporate governance and general business counseling.

In his regulatory practice, Rick provides practical advice on all aspects of trading futures, commodities, securities, options, swaps, hedging and other transactions. Rick works with regulators almost daily and taps his experience to provide candid, forthright advice about resolving an issue, whether through thoughtful negotiation or a vigorous administrative response. He has successfully represented clients before NFA, FINRA, CFTC, SEC and the various futures and securities exchanges, and he frequently leads litigation efforts in these complex areas.

Rick represents registered and unregistered fund managers (and trading advisors) in the formation and operation of private investment funds, including onshore and offshore commodity pools. He advises electronic trading platform providers as well as licensors of trading programs and front-end systems.

Unlike many financial regulatory attorneys, Rick has direct experience in the futures and options markets, having spent the first decade of his career as a principal of futures and options arbitrage and brokerage operations. He knows the markets and understands the transactions and the language.

His practice is also bolstered by significant experience in bankruptcy and creditors’ rights issues. He has represented secured creditors, trade creditors and commercial debtors inside and outside the bankruptcy process, often leading the workout or restructuring of distressed loans covering many types of collateral.

Rick has served as adjunct professor of law at IIT/Chicago-Kent College of Law, where he regularly taught courses in financial services regulation and served on the law school’s Compliance Advisory Panel. For several years, Rick has organized, chaired and presented at a full-day continuing education program designed for lawyers and compliance officers who serve the futures and derivatives industry.