AMATO LAW FIRM, LLC 312.466.5521
Union League Club of Chicago
Ron Amato has substantial experience representing individuals and businesses in a wide variety of disputes and regulatory matters, with a focus on the financial services industry.
Over the course of his career, Ron successfully has represented dozens of investors as an investment fraud attorney and has evaluated hundreds of securities-related cases. As well, he successfully has defended investment professionals and firms in disputes with their customers. His experience on both sides of the table gives him a unique perspective on investor-initiated securities disputes. Ron has handled virtually every type of securities-related dispute, including cases involving unsuitability, churning, "selling away", unsuitable margin trading, and complex products such as options, annuities, ETFs, non-traded REITs and private placements. He also has specialized in cases involving financial planning "malpractice", such as overconcentration and improper asset allocation.
Ron also successfully has represented investment professionals and firms in a variety of employment and securities industry disputes in FINRA arbitration. As a securities employment lawyer, a large part of Ron's practice involves assisting advisors and other financial services professionals in a wide range of employment-related matters (and employment transitions).
Additionally, Ron regularly provides trusted counsel to securities professionals involved in enforcement matters before regulators such as FINRA. He has helped to negotiate settlements with regulators, and has defended advisors in contested enforcement hearings.
A zealous advocate, Ron aggressively represents the interests of the firm's clients, but also works to resolve client matters expeditiously (and in a cost-effective manner) whenever possible.
Prior to attending law school, Ron held Series 7 and Series 63 registrations while working as a registered representative of a large brokerage firm. He frequently is quoted in financial publications, including Financial Advisor, On Wall Street, Registered Rep, and Dow Jones Newswire's Compliance Watch online column. In addition, he regularly speaks to groups such as the Financial Planning Association (FPA) and the Chicago Bar Association regarding securities law topics.
Ron is an active member of the Chicago Bar Association, where he has served as Chair of the Securities Law Committee. He also is a member of the Securities Industry and Financial Markets Association (SIFMA) Compliance & Legal Society and the Public Investors Arbitration Bar Association (PIABA).
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