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Nathan W.Lamb

Partner
Chicago

O 312.998.4283

Nathan W.Lamb

Partner
Chicago

O 312.998.4283

Nathan is a partner in the firm’s Business Litigation group. His practice concentrates on securities-related litigation and regulatory matters involving the Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC), and state securities commissions. He represents brokers, broker-dealers, and investment advisers in FINRA arbitrations, SEC proceedings, and FINRA enforcement actions, guiding clients through investigations and disputes at every stage.

Recognizing the convergence of traditional financial services and emerging technologies, Nathan also advises broker-dealers, registered investment advisers, and other financial service firms on the evolving regulatory treatment of digital assets, cryptocurrencies, blockchain projects, and tokenized securities. He further counsels clients on navigating the complex and continually developing financial services regulatory landscape.

Focus Areas

Examples of Nathan’s experience include:

  • Defending FINRA, SEC, and state investigations and enforcement actions involving alleged sales practice violations, including unsuitable recommendations, churning, misrepresentations, unauthorized trading, and supervisory failures.
  • Defending FINRA, SEC, and state investigations and enforcement actions involving anti-money laundering (AML), registration issues, net capital requirements, Regulation S-P, and other non-sales practice matters.
  • Defending customer complaints and arbitrations across a wide range of matters.
  • Experience with a broad range of products, including limited partnerships, private placements, tenant-in-common interests (TICs), Delaware statutory trusts (DSTs), real estate investment trusts (REITs), and traditional securities.
  • Representing industry members at all levels of broker-dealers and RIAs in on-the-record (OTR) testimony before FINRA or the SEC.
  • Counseling industry participants on responding to FINRA Rule 8210 requests and SEC subpoenas.
  • Advising on avoidance of statutory disqualification (SD) and assisting with MC-400 applications seeking re-admittance following disqualification.
  • Assisting broker-dealers with supervisory system structure, drafting written supervisory procedures, preparing membership applications, and liaising with securities regulators.
  • Assisting clients with the registration of digital assets and custody-related issues.
  • Advising clients in SEC and FINRA inquiries involving crypto-related offerings.
  • Illinois State Bar Association

Education

  • Northwestern University School of Law, J.D., 2005,

    associate editor, Northwestern University Law Review

  • University of Iowa, B.B.A., 1997

Bar Admissions

  • Illinois

Court Admissions

  • U.S. District Court for the Northern District of Illinois