For over 20 years, Harris Kay has represented financial services firms and individuals in a wide range of registration, compliance, regulatory, and litigation matters. He assists members of the securities and derivatives industries in navigating the complex statutory and regulatory framework in which these businesses operate.
Harris has served on the board of directors of a Chicago-based manufacturing company for over a decade. This experience provides him with a unique perspective on the corporate governance, operational, and strategic issues facing businesses and their leadership teams. He previously served as an adjunct professor at the University of Richmond, lecturing on financial services industry-related topics. He has published two law review articles and has written on numerous litigation and regulatory issues related to the industry.
Harris was the Chicago office managing partner at McGonigle, P.C., before the firm combined with Davis Wright Tremaine.
Commodities, futures, and derivatives
Harris assists derivatives exchanges, futures commission merchants, introducing brokers, commodity pool operators, and commodity trading advisors in a variety of registration, regulatory, and compliance matters. Proprietary trading firm clients turn to Harris for advice and counsel regarding regulatory and exchange rule compliance and myriad day-to-day formation and operational issues. When necessary, Harris represents futures- and derivatives-industry clients in regulatory inquiries, investigations, and enforcement proceedings before the CFTC, NFA, and various exchanges.
Harris represents broker-dealers, investment advisers, trading firms, and fund clients in connection with regulatory and compliance matters. He has handled numerous complex regulatory investigations and enforcement matters regarding issuance of securities, fund and issuer disclosure matters, broker-dealer sales practices, registration issues, and other matters before the SEC, FINRA, and exchanges.
Litigation and arbitration
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.
Admitted to Practice
New York, 2006
U.S. Supreme Court
J.D., University of Richmond School of Law, 1996
B.A., College of William & Mary, 1993
Memberships & Affiliations
Past Chair, Chicago Bar Association, Financial Investment Services Committee
Past Meeting Chair and Past Pupilage Program Chair, Chicago – Lincoln American Inn of Court