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Professional background
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Matthew R.Tobin

Managing Associatemoc.eniHnospmohT@niboT.wehttaM

O 312.998.4263

Matthew R.Tobin

Managing Associate

Focus Areas

Examples of Matt’s experience include:

  • Responded to and completed numerous regulatory broker/dealer exams
  • Represented clients in regulatory requests for information
  • Class action defense of market-making firm
  • Written supervisory procedure manual creation and updates
  • Designed anti-money laundering policy and procedure
  • Revamped employee handbooks
  • Reviewed and revised vendor contracts with securities regulatory implications (SEC, FINRA and various SROs)
  • Implemented FINRA Consolidated Audit Trail (CAT) policy and procedures
  • Applied for and maintained minority business enterprise licenses
  • Investigated broker/dealers for securities law compliance
  • Presented cases to the Cboe business conduct committee for alleged violations of self-regulatory organization rules and regulations
  • Moderator, “Strategies for a Circular Economy and Environmental Stewardship: Cannabis Waste Management,” Benzinga Cannabis Capital Conference, September 2023
  • Recipient of the Security Traders Association Chicago (STAC) President’s Award, 2019

Professional Associations

  • Security Traders Association Chicago
  • Chicago Bar Association

Community Activities

  • AYSO soccer coach


  • Loyola University Chicago, J.D., 2012
  • Indiana University, B.A., 2005

Bar Admissions

  • Illinois