He has extensive experience navigating complex multi-layered matters that involve both litigation and regulatory enforcement. Mr. Smith has represented financial services firms in SEC, DOJ, CFTC and FINRA enforcement matters. Among these clients are Bank of America, CME Group and Ameriprise Financial. He regularly represents corporate officers and directors in investigations.
Mr. Smith also has represented a number of clients in high-profile investigations under the Foreign Corrupt Practices Act. He has represented a major financial exchange, manufacturers, medical device companies and many other clients in investigations, as well as transaction due diligence and training on compliance matters.
Mr. Smith is an experienced trial lawyer, having tried many cases in federal and state courts around the country. These cases typically involve complex securities, accounting, financial or bankruptcy-related issues. He has represented many companies and their officers and directors in securities and derivative litigation, including Bank of America, UBS, Sprint Corporation and Aon Corporation.
Mr. Smith is a frequent speaker on litigation, compliance and enforcement issues. He is a 2014 recipient of the Excellence in the Law Award from the National Diversity Council. This award recognizes attorneys in the Chicago area who have distinguished themselves through their leadership, resolve and outstanding achievements for the benefit of their clients, collaborators and communities. Mr. Smith currently serves as the president of the board of directors of the Chicago Bar Foundation, is a member of the board of directors of the Joffrey Ballet of Chicago and is a member of the board of trustees of Knox College, in Galesburg, Illinois. Selected by the board of trustees of the University of Chicago, Mr. Smith serves on its Law School Council. The council — comprised of judges, senior corporate executives and practicing lawyers — advises the law school on strategic matters.
Mr. Smith repeatedly has been selected for inclusion in The Best Lawyers in America. He also was named a “Client Service All-Star” by The BTI Consulting Group in its 2018 Client Service All-Stars report.