James A. Arpaia

Shareholder

T: 312-609-7618 F: 312-609-5005

Chicago

James A. Arpaia is a shareholder at Vedder Price and a member of the firm’s Investment Services Group.

Mr. Arpaia provides comprehensive representation of securities broker-dealers, investment advisers and mutual funds regarding regulatory, compliance and litigation matters. He has extensive experience with management and operational issues associated with securities brokerage and investment management businesses, as well as with securities transactions, product design, general corporate and transactional matters and litigation and enforcement proceedings. Prior to joining Vedder Price in 1991, Mr. Arpaia was Vice President and Chief Compliance Officer of two regional securities brokerage firms from 1984 to 1990. Before entering the industry side of the securities business, he was with the National Association of Securities Dealers (now, the Financial Industry Regulatory Authority) for seven years, where he was a Supervisor of Examiners.

• Broker/Dealers
• Corporate Securities
• Directors and Officers
• Investment Advisers
• Investment Services
• Mutual Funds

• J.D., Chicago-Kent College of Law, Illinois Institute of Technology, 1991
• B.S., University of Illinois, 1975

• Illinois, 1991

• Member, Legal and Compliance Division, Securities Industry and Financial Markets Association
• Member, Securities Law and Investment Company Subcommittee, Chicago Bar Association
• Arbitrator, Financial Industry Regulatory Authority