Mr. Barclay concentrates his practice in representing commodity futures, securities and other financial industry professionals in regulatory, transactional and litigation matters.
Formerly a member of the Chicago Mercantile Exchange (CME), Mr. Barclay parlayed the knowledge and experience he acquired there into a second career as an attorney. He routinely represents businesses and individuals before the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC), the National Futures Association (NFA), the Financial Industry Regulatory Authority, the CME and state securities regulators.
Mr. Barclay provides a variety of legal services to our clients, including: transactional and regulatory work relating to commodity futures and securities; drafting disclosure documents for commodity trading advisors, commodity pool operators and hedge fund operators; counseling on commodity trading advisors, commodity pool operators, and investment adviser registration and licensure requirements and exemptions; drafting no-action letters on behalf of clients to the CFTC; representation on inquiries, investigations and enforcement actions initiated by the SEC, the CFTC, NFA, the CME and state securities regulators; counseling on exchange requirements advice for futures commission merchants and floor brokers; advising on compliance issues for brokers; representation before self-regulatory futures organizations in disciplinary and membership proceedings; representation in NFA and CME arbitration proceedings; representation in futures commission merchant bankruptcies, such as Sentinel Management Group Inc., MF Global Inc. and Peregrine Financial Group Inc.; and advising on compliance with the Dodd–Frank Wall Street Reform and Consumer Protection Act, commonly known as the Dodd- Frank Act, and the Jumpstart Our Business Startups Act, commonly known as the JOBS Act.
Mr. Barclay received his J.D. from DePaul University College of Law in 1996 and his B.A. from Loyola University of Chicago in 1986. Mr. Barclay is licensed to practice in the State of Illinois.