Douglas W. Hyman Email & Phone Number

Doug Hyman has extensive experience representing financial services firms, securities professionals, investors and other market participants in state and federal courts throughout the United States, investigations and enforcement proceedings before the SEC, FINRA and state regulators, and FINRA/AAA/JAMS/SRO arbitrations involving both customer and industry/employment disputes. His practice also focuses on advising financial services firms and registered securities professionals on compliance policies and procedures, employment matters specific to the financial services industry, U4/U5 and other disclosure-related items, expungement of U4/U5 disclosures, matters relating to the transition from one financial services firm to another involving both Protocol and non-Protocol firms, promissory note obligations, internal investigations, internal and regulatory audits, sales practices specific to complex investment products/platforms, and the interpretation of regulatory rules and regulations.Doug's experience is derived from a diverse mix of relevant legal and business experience gained over 25 years. He worked on matters relevant to the financial services industry as a Senior Attorney with the SEC, a Vice President in Morgan Stanley's Legal and Compliance Division, and as counsel with the global law firms DLA Piper and Wildman Harold (now Locke Lord). He was also a Financial Advisor with UBS Financial Services, Inc., giving him a unique business perceptive into legal matters impacting the broker-dealer and investment advisor industries. Doug has been a member of the Illinois Bar since 1995, and previously held FINRA Series 7 and 66 licenses.

Listed skills include Securities, Litigation, Commercial Litigation, Corporate Law, and 29 others.