Alton B. Harris

Al is a founding partner of Ungaretti & Harris and chairs the Firm’s Financial Services Group. He was a consultant to the Reporter for the American Law Institute’s Federal Securities Code. During the early 1970s, Al served as counsel to the Subcommittee on Securities of the Senate Banking Committee and was the principal draftsman of the Securities Acts Amendments of 1975. In this capacity, he was responsible for the review and evaluation of all proposed changes to the federal securities laws and was actively involved in the jurisdictional controversies between the SEC and the CFTC related to the passage and aftermath of the Commodity Futures Trading Commission Act of 1974.

Al is a frequent writer and lecturer on the financial markets, financial regulation, and corporate governance. He is an adjunct professor of law at Northwestern University Law School, where he teaches courses on the regulation of derivative products and the financial markets. He also has served as an adjunct professor in the Graduate Program in Financial Services Law at IIT – Chicago Kent College of Law, where he taught courses on the regulation of money managers.

His practice focuses on:

• The regulation of financial institutions, financial products, and financial services
• Corporate governance and finance