Andrew S. May

Andrew S. May is a seasoned securities and commodities partner with decades of experience in navigating complex compliance issues, regulatory enforcement actions, and customer disputes, as well as industry disputes. As a true counselor to his clients, he prioritizes understanding their unique operations and challenges alongside the laws and regulations governing them.

With over 25 years of experience in serving participants in the securities and futures industries, Andrew is well-equipped to handle a wide range of legal issues faced by various entities such as future commission merchants (FCMs), introducing brokers, commodity pool operations (CPOs), commodity trading advisors (CTAs), floor brokers, and proprietary traders. He also defends the interests of proprietary trading firms, registered investment advisors (RIAs), clearing and retail broker-dealers (BDs), registered representatives (RRs), and hedge funds and their operators.

Andrew also has extensive experience in enforcement actions, examinations, and investigations involving the following:
Commodity Futures Trading Commission (CFTC)
Securities and Exchange Commission (SEC)
Financial Industry Regulatory Authority (FINRA)
Chicago Board Options Exchange (CBOE)
Chicago Mercantile Exchange (CME)
Chicago Stock Exchange (CSE)
National Futures Association (NFA)

He also handles arbitrations before the NFA, FINRA, and various exchanges such as CBOT, CME, and the former New York Stock Exchange (NYSE), as well as National Association of Securities Dealers (NASD).

In addition to his substantive experience with virtually all aspects of securities and commodities markets, Andrew advises financial services clients on business formation, compliance, disclosure, registration, and transactional matters.

Andrew’s legal career includes two decades with firms throughout Chicagoland and as a solo practitioner, concentrating on commodity futures regulation, broker-dealer regulation, and investment management.