Photo of Harris L. Kay

Harris L. Kay

Officer

Harris Kay understands the complex compliance, regulatory and litigation matters important to those in the securities and futures industries, providing legal counsel to financial services firms and individuals. 

Practice Areas

Admissions

  • Illinois
  • New York
  • Virginia
  • Supreme Court of the United States
  • U.S. Court of Appeals for the Seventh Circuit
  • U.S. Court of Appeals for the Second Circuit
  • U.S. Court of Appeals for the Fourth Circuit
  • U.S. District Court for the Northern District of Illinois
  • U.S. District Court for the Southern District of New York
  • U.S. District Court for the Eastern District of Virginia

Education

J.D., University of Richmond School of Law, 1996

B.A., College of William and Mary, 1993

Profile

Harris Kay counsels financial services firms and individuals regarding a 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 participants in the securities and futures industries in federal and state court litigation and in CFTC reparations proceedings, as well as in arbitration before FINRA and NFA.

Harris was previously a partner in the financial services practice group in the Chicago office of a large international law firm. He also previously served as an adjunct professor at the University of Richmond and has written and presented on numerous litigation and regulatory issues. Harris currently serves on the Board of Directors of a Chicago-area manufacturing company. 

Professional Affiliations

  • Chicago-Lincoln American Inn of Court, member and past meeting chair and pupilage program chair
  • Chicago Bar Association, Financial and Investment Services Committee, member and past chair

News & Insights

Seminars & Speaking Engagements

  • “Disruptive Trading Practices in an E-World”
    Future Industry Association EXPO 2017, Chicago, Illinois, October 19, 2017
  • “Latest Enforcement Developments”
    Future Industry Association EXPO 2017, Chicago, Illinois, October 18, 2017
  • "Déjà vu, Yet Something New: FERC and CFTC Allege Manipulation, Spoofing, and Insider Trading"
    Greenberg Traurig FERC and CFTC Forum, Houston, Texas, March 16, 2016
  • Panelist, "Surveillance Workshop Part II: Practical Tips/Training the Traders"
    FIA Futures and Options Expo /Chicago, IL, November 5, 2015
  • Panel Moderator, "BIG Compliance Issues"
    National Introducing Brokers Association 2014 Chicago Conference, September 22, 2014
  • "Financial Industry Regulatory Update"
    Annual Year-End Update Meeting, Illinois CPA Society, January 16, 2013