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Jose A. Lopez

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Partner

Jose Lopez is a partner with the firm's Litigation practice.  He focuses his practice on complex business litigation, with a special emphasis on securities litigation and representing clients involved in enforcement proceedings by the United States Securities and Exchange Commission, United States Department of Justice, FINRA, Illinois Securities Department and other regulatory agencies.

Jose has extensive experience in internal corporate investigations, particularly investigations relating to alleged violations of federal and state securities law.

Jose's experience includes the following:

  • Investigated multinational company’s compliance with FCPA bribery and books and records laws in Mexico, India, South Korea, Central America, Brazil and Chile.
  • Representation of several corporations in auction-rate securities cases seeking damages and restitution of more than $100 million
  • Defending corporate and individual defendants in a multi-level marketing case brought by the Federal Trade Commission
  • Defense of a former CEO of a publicly-held corporation arising from allegations of insider trading
  • Representation of a former senior executive in investigation relating to allegations of improper revenue recognition
  • Successful defense of a corporate officer in market timing investigation
  • Representation of firms and individuals in dozens of Financial Industry Regulatory Authority (FINRA) arbitrations regarding alleged securities violations
During his tenure as a Senior Enforcement Attorney with the SEC, Mr. Lopez, directed numerous high profile investigations and litigation involving revenue recognition, financial statement and disclosure fraud, insider trading, prime bank schemes and registration violations.  Mr. Lopez also served as a member of the SEC’s Cyberforce investigating claims of internet securities fraud.

He frequently speaks on panels regarding recent developments in securities litigation. The Illinois Supreme Court has appointed Jose to successive annual terms as a member of its hearing panel, which hears contested cases and makes recommendations for the discipline of lawyers charged with misconduct by the Attorney Registration and Disciplinary Commission of the Supreme Court of Illinois. Recently, the Illinois Supreme Court also appointed Jose for an annual term as a chair of its hearing panel.

He also served as an Assistant State's Attorney in Cook County where he successfully tried more than 40 cases and argued several cases before the Illinois Appellate Court.

Professional Recognition

  • Named to Illinois Super Lawyers in Securities Litigation, 2005 - 2008, 2013 - 2014
  • Peer Review Rated AV in Martindale-Hubbell
    (AV®, BV® and CV® are registered certification marks of Reed Elsevier Properties Inc., used in accordance with the Martindale-Hubbell certification procedures, standards and policies.)

Professional Leadership

  • ABA Co-Chair of Securities Litigation SEC Enforcement subcommittee
  • Former Co-Chair of Securities Litigation Broker-Dealer Litigation subcommittee
  • Former Regional Chair of the Association of SEC Alumni

Related Employment

  • Schopf & Weiss LLP, Chicago, IL, Partner
  • United States Securities and Exchange Commission, Midwest Regional Office, Senior Enforcement Attorney
  • Cook County State’s Attorney’s Office, Chicago, IL, Assistant State’s Attorney

Clerkships

  • Hon. Morton Denlow, U.S. District Court for the Northern District of Illinois

Education

  • Northwestern University School of Law, J.D., 1995
  • DePaul University, B.A., 1992

Bar Admissions

  • District of Columbia
  • Illinois

Court Admissions

  • U.S. Supreme Court
  • U.S. Court of Appeals for the Sixth Circuit
  • U.S. Court of Appeals for the Seventh Circuit
  • U.S. Court of Appeals for the Eighth Circuit
  • U.S. Court of Appeals for the Ninth Circuit
  • U.S. District Court for the District of Colorado
  • U.S. District Court for the Northern District of Illinois - Trial Bar
  • U.S. District Court for the Western District of Tennessee