Junaid A. Zubairi

Associate

T: +1 (312) 609 7720 F: +1 (312) 609 5005

Chicago

Junaid A. Zubairi focuses his practice on Securities and Exchange Commission (SEC) and other governmental investigations, investment services and regulatory compliance matters. His practice includes representing companies and individuals in governmental investigations and litigation, conducting internal investigations, counseling clients during regulatory examinations, counseling clients on Foreign Corrupt Practices Act (FCPA) matters and providing general compliance and remediation counseling. Mr. Zubairi has extensive experience representing investment advisers, broker-dealers, corporations and officers and directors during governmental investigations and regulatory proceedings.

Prior to joining Vedder Price, Mr. Zubairi was a senior attorney with the Securities and Exchange Commission, Division of Enforcement. At the SEC, Mr. Zubairi was the lead attorney on numerous high-profile investigations and litigations involving investment adviser and broker-dealer misconduct, financial fraud, officer and director liability, insider trading and pay-to-play practices. Mr. Zubairi spearheaded several complex investigations that resulted in substantial settlements against large public companies.

Further, while at the SEC, Mr. Zubairi also coordinated effective parallel investigations with federal and state agencies, including the U.S. Attorney’s Office, the FBI, FINRA and the Illinois Commerce Commission.

For his outstanding work, Mr. Zubairi received the Division of Enforcement Director’s Award, as well as several Special Act awards.

Mr. Zubairi was selected for inclusion from 2010 to 2012 in Illinois Rising Stars.

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• Appeals Court Vacates SEC’s Proxy Access Rule
• Janus Capital Group, Inc. v. First Derivative Traders
• Limitation to Morrison in Criminal Securities Fraud Cases
• New Whistleblower Rules Adopted by SEC

• Broker/Dealers
• Corporate Securities
• Directors and Officers
• Governmental Investigations
• Investment Advisers
• Investment Services
• Mutual Funds
• Securities Litigation
• White Collar Criminal Defense, Parallel Civil/Administrative Proceedings and Internal Investigations

• J.D., Loyola University School of Law, 2002
• B.A., cum laude, Loyola University, 1999

• Illinois, 2002

•  Co-chair, Association of SEC Alumni (ASECA)
• Member, Chicago Bar Association 

Recent Publications

• Co-author, "Janus Capital Group, Inc. v. First Derivative Traders : Supreme Court Rules Regarding Liability of Secondary Actors," Securities Litigation and Enforcement Trends, October 2011
• Co-author, "Supreme Court Determines That Plaintiffs Do Not Need to Prove Loss Causation in Order to Obtain Class Certification in Federal Securities Fraud Actions," Securities Litigation and Enforcement Trends, October 2011
• Co-author, "The SEC Settles Yet Another Section 304 Clawback Case against an 'Innocent' Executive, but Litigation Regarding the Meaning of 'Misconduct' May Continue in SEC v. Jenkins," Securities Litigation and Enforcement Trends, October 2011
• Co-author, "New Whistleblower Rules Adopted by SEC," Securities Litigation and Enforcement Trends, October 2011
• Co-author, "Sixth Circuit Applies 'Holistic' Approach to Inference of Scienter in Securities Fraud Claims: Frank v. Dana Corp., Part IV," Securities Litigation and Enforcement Trends, October 2011
• Co-author, Limitation to Morrison in Criminal Securities Fraud Cases: United States v. Mandell, Case No. 09 Cr. 0662 (S.D.N.Y. Mar. 16, 2011)," Securities Litigation and Enforcement Trends, October 2011
• Co-author, "Recent SEC Pronouncements Designed to Foster Cooperation," Securities Litigation and Enforcement Trends, October 2011
• Co-author, "Appeals Court Vacates SEC's Proxy Access Rule," Securities Litigation and Enforcement Trends, October 2011
• Co-author, “FCPA Trends,” Securities Litigation and Enforcement Trends, April 2011
• Co-author, “SEC Aggressively Targets Insider Trading and Expert Networks,” Securities Litigation and Enforcement Trends, April 2011
• Co-author, “Supreme Court Determines Materiality Standard for Adverse Event Reports,” Securities Litigation and Enforcement Trends, April 2011
• Co-author, “SEC Aggressively Targets Insider Trading and Expert Networks,” Securities Litigation and Enforcement Trends, April 2011

Recent Presentations

• Presenter, National Regulatory Services seminar, "SEC Examinations for Investment Advisers," August 16, 2011
• Presenter, National Regulatory Services seminar, "The New Form ADV Delivery Requirements, Contracts and Insider Trading under the Advisers Act," July 19, 2011
• Presenter, National Regulatory Services seminar, "Books and Records Management for Investment Advisers," March 8, 2011

Junaid A. Zubairi

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