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  • Securities

Andrew May has securities industry knowledge and experience. He is a former General Counsel to an SEC registered investment advisor (RIA) and FINRA member broker-dealer and represented Fortune 500 ‘Wirehouse broker-dealers in securities arbitration matters

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  • Commodities

Andrew May formerly worked at a boutique futures law firm, has represented a ‘who’s who’ of CTAs, CPOs and FCMs and has taken advanced legal coursework on the futures industry topics.

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  • Non-Financial

Andrew May represents many businesses and entrepreneurs in transactional deals and regulatory matters. Andrew May has litigated in nearly ten (10) states outside of Illinois.

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Chicago Hedge Fund Lawyer for Securities and Commodities Licensed Individuals and Firms

Attorney with Industry Knowledge and Experience

May Law, PC, is a Chicago, Illinois, based law firm prepared to handle legal issues involving compliance, regulation, and helping businesses achieve best practices to prevent arbitrations, disputes and litigation. When faced with compliance issues or regulatory investigations involving commodities, derivatives. FOREX, futures, options or securities, May Law, PC, is also prepared to protect your interests and investment. The firm also sets up commodities, FOREX, futures, options and securities firms.

May Law, PC, offers the services of a Chicago attorney with industry knowledge and experience for options and securities in cases/matters involving:

Securities Investigations and Enforcement Proceedings:
May Law, PC, has particular expertise in defending Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) f/k/a National Association of Securities Dealers (NASD), state blue sky agency, and exchange investigations and enforcement proceedings. Some of the firm’s greatest successes have been in this arena. Because of the firm’s frequent contacts with enforcement offices, it often sees enforcement matters concluded through devising innovative undertakings and avoiding unwelcome corrective measures.

Securities Arbitration, Litigation and Mediation:
Provides advice, experience and knowledge to lessen the likelihood before arbitration or litigation. The firm also represents clients throughout the dispute resolution process.

Securities Money Managers:
The firm advises money managers, hedge funds and Registered Investment Advisors (RIAs) and assists clients in operating funds, including preparation of private placement memorandums (PPM) and related documents, ensuring proper registration or valid exemptions.

Securities and Related Forms and Regulatory Filings:
Handles regulatory filings, including Form ADV, Form BD, Form D, Form PF, Form U-4 and Form U-5, Forms 13D and 13F and private placement memorandum (PPMs) needed to invest money establishing potential risks and conflicts that should be reviewed. Provides competent assessment of all obligations to ensure regulatory compliance with laws, regulation, industry standards and protocols.

Organization and Registration of Broker Dealers (BDs), Registered Investment Advisors (RIAs) and Hedge Funds:
Creating new entities from filing and documentation through licensing and registration, focused on efficient, effective setup to lessen regulatory burdens.

Securities Industry Compliance:
May Law, PC, has created compliance programs for securities firms of varying sizes. The firm prepares, reviews compliance programs, advises on sales practice questions, and consults and conducts internal investigations.

Securities Industry Underwriting:
Lawyer Andrew S. May conducts with private placements, both related to options and securities and those unrelated to financial services firms, which are nonpublic offerings, and he helps draft documents such as private placement memorandums (PPM), files Form D, makes blue sky law filings and provides a more feasible and cost effective way to raise capital from investors.

Securities Industry Mergers and Acquisitions:
The firm provides counsel and advocacy for businesses entering a merger or acquisition. May Law counsels and advises on how to buy existing firms rather than starting from scratch, and assist in streamlining the process of mergers and acquiring a new business.

Securities Proprietary (PROP) Trading Firms and Traders:
May Law, PC, counsels participants in all the major trading markets, both for exchange and off-floor operations. The firm represents market makers, traders and member firms including proprietary (prop) trading boutiques.

May Law, PC, offers the services of a Chicago attorney with industry knowledge and experience for commodities, FOREX, futures and options in cases/matters involving:

Commodities/Futures Investigations and Enforcement Proceedings:
May Law, PC, has particular expertise in defending Commodities Futures Trading Commission (CFTC), National Futures Association (NFA) and exchange investigations and enforcement proceedings. Some of the firm’s greatest successes have been in this arena. Because of the firm’s frequent contacts with enforcement offices, it often sees enforcement matters concluded through devising innovative undertakings and avoiding unwelcome corrective measures.

Commodities and Futures Arbitration, Litigation and Mediation:
Provides advice, experience and knowledge to lessen the likelihood before arbitration or litigation. The firm also represents clients throughout the dispute resolution process; whether it be CFTC Reparation, litigation or NFA arbitration.

Commodities/Futures Money Managers:
The firm advises money managers, CTAs and CPOs and assists clients in operating funds and commodity pools, including preparation of private placement memorandums (PPM) and related documents, ensuring proper registration or valid exemptions.

Commodities and Related Forms and Regulatory Filings:
Handles regulatory filings, including Form 7-R and Form 8-R and private placement memorandum (PPMs) needed to invest money establishing potential risks and conflicts that should be reviewed. Provides competent assessment of all obligations to ensure regulatory compliance with laws, regulation, industry standards and protocols.

Organization and Registration of Commodity Pool Operators (CPOs), Commodity Trading Advisors (CTAs), Introducing Brokers (IBs) and Retail Foreign Exchange Dealers (RFEDs):
Creating new entities from filing and documentation through licensing and registration, focused on efficient, effective setup to lessen regulatory burdens.

Commodities and Futures Compliance:
May Law, PC, has created compliance programs for commodities/futures firms of varying sizes. The firm prepares, reviews compliance programs, advises on sales practice questions, and consults and conducts internal investigations.

Futures Industry Underwriting:
Lawyer Andrew S. May conducts with private placements, both related to commodities, FOREX, futures and options and those unrelated to financial services firms, which are nonpublic offerings, and he helps draft documents such as private placement memorandums (PPM), files Form D, makes blue sky law filings and provides a more feasible and cost effective way to raise capital from investors.

Futures Industry Mergers and Acquisitions:
The firm provides counsel and advocacy for businesses entering a merger or acquisition. May Law counsels and advises on how to buy existing firms rather than starting from scratch, and assist in streamlining the process of mergers and acquiring a new business.

Futures Proprietary (PROP) Trading Firms and Traders:
May Law, PC, counsels participants in all the major trading markets, both for exchange and off-floor operations. The firm represents floor brokers, traders, member firms and FOREX traders including proprietary (prop) trading boutiques.

Non-Financial Services Capital Raising:

  • Recent Posts

May Law, PC has been blogging about securities law and compliance issues for years and writes many columns for various compliance consulting firms.

Visit the full blog »

Chicago Lawyer for Securities and Commodities Licensed Individuals and Firms

Attorney with Industry Knowledge and Experience
May Law, PC, is a Chicago, Illinois, based law firm prepared to handle legal issues involving compliance, regulation, and helping businesses achieve best practices to prevent arbitrations, disputes and litigation. When faced with compliance issues or regulatory investigations involving commodities, derivatives. FOREX, futures, options or securities, May Law, PC, is also prepared to protect your interests and investment. The firm also sets up commodities, FOREX, futures, options and securities firms.

May Law, PC, offers the services of a Chicago attorney with industry knowledge and experience for options and securities in cases/matters involving:

Securities Investigations and Enforcement Proceedings:
May Law, PC, has particular expertise in defending Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) f/k/a National Association of Securities Dealers (NASD), state blue sky agency, and exchange investigations and enforcement proceedings. Some of the firm’s greatest successes have been in this arena. Because of the firm’s frequent contacts with enforcement offices, it often sees enforcement matters concluded through devising innovative undertakings and avoiding unwelcome corrective measures.

Securities Arbitration, Litigation and Mediation:
Provides advice, experience and knowledge to lessen the likelihood before arbitration or litigation. The firm also represents clients throughout the dispute resolution process.

Securities Money Managers:
The firm advises money managers, hedge funds and Registered Investment Advisors (RIAs) and assists clients in operating funds, including preparation of private placement memorandums (PPM) and related documents, ensuring proper registration or valid exemptions.

Securities and Related Forms and Regulatory Filings:
Handles regulatory filings, including Form ADV, Form BD, Form D, Form PF, Form U-4 and Form U-5, Forms 13D and 13F and private placement memorandum (PPMs) needed to invest money establishing potential risks and conflicts that should be reviewed. Provides competent assessment of all obligations to ensure regulatory compliance with laws, regulation, industry standards and protocols.

Organization and Registration of Broker Dealers (BDs), Registered Investment Advisors (RIAs) and Hedge Funds:
Creating new entities from filing and documentation through licensing and registration, focused on efficient, effective setup to lessen regulatory burdens.

Securities Industry Compliance:
May Law, PC, has created compliance programs for securities firms of varying sizes. The firm prepares, reviews compliance programs, advises on sales practice questions, and consults and conducts internal investigations.

Securities Industry Underwriting:
Lawyer Andrew S. May conducts with private placements, both related to options and securities and those unrelated to financial services firms, which are nonpublic offerings, and he helps draft documents such as private placement memorandums (PPM), files Form D, makes blue sky law filings and provides a more feasible and cost effective way to raise capital from investors.

Securities Industry Mergers and Acquisitions:
The firm provides counsel and advocacy for businesses entering a merger or acquisition. May Law counsels and advises on how to buy existing firms rather than starting from scratch, and assist in streamlining the process of mergers and acquiring a new business.

Securities Proprietary (PROP) Trading Firms and Traders:
May Law, PC, counsels participants in all the major trading markets, both for exchange and off-floor operations. The firm represents market makers, traders and member firms including proprietary (prop) trading boutiques.

May Law, PC, offers the services of a Chicago attorney with industry knowledge and experience for commodities, FOREX, futures and options in cases/matters involving:

Commodities/Futures Investigations and Enforcement Proceedings:
May Law, PC, has particular expertise in defending Commodities Futures Trading Commission (CFTC), National Futures Association (NFA) and exchange investigations and enforcement proceedings. Some of the firm’s greatest successes have been in this arena. Because of the firm’s frequent contacts with enforcement offices, it often sees enforcement matters concluded through devising innovative undertakings and avoiding unwelcome corrective measures.

Commodities and Futures Arbitration, Litigation and Mediation:
Provides advice, experience and knowledge to lessen the likelihood before arbitration or litigation. The firm also represents clients throughout the dispute resolution process; whether it be CFTC Reparation, litigation or NFA arbitration.

Commodities/Futures Money Managers:
The firm advises money managers, CTAs and CPOs and assists clients in operating funds and commodity pools, including preparation of private placement memorandums (PPM) and related documents, ensuring proper registration or valid exemptions.

Commodities and Related Forms and Regulatory Filings:
Handles regulatory filings, including Form 7-R and Form 8-R and private placement memorandum (PPMs) needed to invest money establishing potential risks and conflicts that should be reviewed. Provides competent assessment of all obligations to ensure regulatory compliance with laws, regulation, industry standards and protocols.

Organization and Registration of Commodity Pool Operators (CPOs), Commodity Trading Advisors (CTAs), Introducing Brokers (IBs) and Retail Foreign Exchange Dealers (RFEDs):
Creating new entities from filing and documentation through licensing and registration, focused on efficient, effective setup to lessen regulatory burdens.

Commodities and Futures Compliance:
May Law, PC, has created compliance programs for commodities/futures firms of varying sizes. The firm prepares, reviews compliance programs, advises on sales practice questions, and consults and conducts internal investigations.

Futures Industry Underwriting:
Lawyer Andrew S. May conducts with private placements, both related to commodities, FOREX, futures and options and those unrelated to financial services firms, which are nonpublic offerings, and he helps draft documents such as private placement memorandums (PPM), files Form D, makes blue sky law filings and provides a more feasible and cost effective way to raise capital from investors.

Futures Industry Mergers and Acquisitions:
The firm provides counsel and advocacy for businesses entering a merger or acquisition. May Law counsels and advises on how to buy existing firms rather than starting from scratch, and assist in streamlining the process of mergers and acquiring a new business.

Futures Proprietary (PROP) Trading Firms and Traders:
May Law, PC, counsels participants in all the major trading markets, both for exchange and off-floor operations. The firm represents floor brokers, traders, member firms and FOREX traders including proprietary (prop) trading boutiques.

Non-Financial Services Capital Raising:


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