Jose A. Lopez
- Chicago Office Managing Partner
- Chicago
- Washington, D.C.
Jose advises companies, officers, directors, and trustees in complicated securities litigation and enforcement matters involving both federal and state regulators.
Jose Lopez draws upon his experience as a former senior enforcement attorney with the U.S. Securities and Exchange Commission (SEC) to achieve favorable results in civil securities proceedings and enforcement matters with the SEC, U.S. Department of Justice, Financial Industry Regulatory Authority, Federal Trade Commission, Commodity Futures Trading Commission, Illinois Securities Department, and other state regulatory agencies. Jose has also tried civil matters in federal and state court and in confidential arbitration proceedings.
Jose has extensive experience in internal corporate investigations, particularly investigations of alleged violations of federal and state securities laws. He has investigated multinational companies' compliance with Foreign Corrupt Practices Act bribery as well as books and records laws in Mexico, India, South Korea, Central America, South America, Europe, and South Africa.
During his tenure with the SEC, Jose directed high-profile investigations and litigations involving revenue recognition, financial statement and disclosure fraud, insider trading, prime bank schemes, and registration violations. He also served as a member of the SEC's Cyberforce investigating claims of internet securities fraud.
The Illinois Supreme Court has appointed Jose to successive annual terms as a member of its hearing panel. As a former assistant state's attorney in Cook County, he successfully tried more than 40 cases and argued several cases before the Illinois Appellate Court. Additionally, he frequently speaks on panels regarding recent developments in securities litigation.
Areas of focus
Industries
Services
Education & Credentials
Education
- Northwestern University Pritzker School of Law, J.D., 1995
- DePaul University, B.A., 1992
Bar and Court Admissions
-
Illinois
-
District of Columbia
- Supreme Court of the United States
- U.S. Tax 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
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
- Magistrate Judge Morton Denlow, U.S. District Court for the Northern District of Illinois
Professional Recognition
Listed as a “Most Influential Minority Lawyers in Chicago” by Crain’s Chicago Business, 2017
Named to Illinois "Super Lawyers" in Securities Litigation, 2005-2008, 2013-2024
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.)
*The Supreme Court of Illinois does not recognize certifications of specialties in the practice of law and no certificate, award or recognition is a requirement to practice law in Illinois.
Impact
Professional Leadership
- The Chicago Committee, Board of Directors, 2020-present
- Hispanic Lawyers Scholarship Fund of Illinois, Board Member
- Metropolitan Water Reclamation District of Greater Chicago, Ethics Commissioner
- Former Co-Chair of ABA Securities Litigation SEC Enforcement Subcommittee
- Former Co-Chair of ABA Securities Litigation Broker-Dealer Litigation Subcommittee
- Former Regional Chair of the Association of SEC Alumni
- American Bar Foundation, Fellow
- Selected and attended Center for Creative Leadership program, 2017
- Selected and attended the Kellogg School of Management Advanced Leadership Program, 2019
- Selected and attended the Kellogg School of Management Strategic Leadership program, 2012
- Former Firmwide Chair, Strategic Diversity Committee
Community Involvement
- Illinois Attorney Registration and Disciplinary Commission, Hearing Board Chair
- The Economic Club of Chicago, Member
Insights
News
Professional Experience
Enforcement
- Successfully defended Fortune 500 company in SEC revenue recognition investigation
- Extensive FCPA investigative experience worldwide
- Defending entities and individuals in SEC pay-to-play investigations
- 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 multiple Financial Industry Regulatory Authority (FINRA) arbitrations regarding alleged securities violations
Litigation
Exelon Generation Company v. General Atomic Technologies Corporation
U.S. District Court for the Northern District of Illinois
Brought breach of contract and fraud lawsuit against one of Exelon's uranium supplier seeking more than $80 million in damages; won summary judgment on breach of contract claim, defeated summary judgment on fraud claim, and settled favorably a month before trial.
Duthie v. Matria Healthcare Inc.
U.S. District Court for the Northern District of Illinois
U.S. Court of Appeals for the Seventh Circuit
Obtained injunction on behalf of former officers and shareholders precluding arbitration of claims arising from $450 million merger. In related Delaware Chancery proceeding, successfully obtained indemnification and advancement of all attorneys’ fees from former company, and obtained complete release of all claims against former officers and shareholders. 535 F. Supp. 2d 909; aff’d, 540 F.3d 533
Bojan, et. al. v. Infinium Capital Holdings, LLC
Defended former officers (CEO, COO, CTO) in securities fraud action.
Johansen, et. al. v. SLS Invest AB, et. al.
Defended majority investors in derivative and breach of fiduciary duty lawsuit.