Anthony F. Fata

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Education Profile

  • Ohio State University Moritz College of Law (1999)
  • Miami University (1995)

State Court Admissions

  • Illinois

Anthony F. Fata (Chicago) represents Cafferty Clobes Meriwether & Sprengel LLP’s clients in the financial markets and financial services industry. He has dealt with a wide range of trading environment, investment advisor, broker-dealer and futures commission merchant issues arising under the commodities, securities and antitrust laws and regulations. Anthony prosecutes claims in multidistrict litigation and class actions and defends clients in litigation and regulatory proceedings.  Anthony has handled matters relating to a wide variety of instruments traded on exchanges (e.g., CME, ICE, LIFFE, NYSE and NASDAQ), on over-the-counter markets, and in ECNs and dark pools. Anthony also conducts internal investigations on behalf of financial service firms and other businesses, represents clients in commercial and employment litigation, and represents clients in business break-ups.  Before joining Cafferty Clobes Meriwether & Sprengel LLP, Anthony practiced law at McDermott, Will & Emery, where he defended clients in commodities, securities, and consumer fraud class actions as well as SEC investigations and enforcement proceedings.

Anthony has authored, paneled and taught numerous articles and courses relating to securities, commodities, class actions, and internal investigations. More recent courses and publications include: Mitigating, Detecting, and Dealing with Employee Fraud – The Problem of the Inside Job, CBA Record Article (2017)(co-authored with Corey M. Martens); Corporate Governance, Compliance, Enforcement and Risk Management, Seton Hall Law School Masters of Science in Jurisprudence Course (2016); Securities Regulation and Compliance, Seton Hall Law School Masters of Science in Jurisprudence Course (2016); The Investigation is Internal, But Is This Document Privileged? An Overview of Privilege Issues in Internal Investigations, PLI Internal Investigations Handbook Article (2016); Internal Investigations, Practicing Law Institute Panelist (2013-2016); The Securities Exchange Commission’s Whistleblower Program, PLI Internal Investigations Handbook (2015); The Commodity Futures Trading Commission’s Whistleblower Program, PLI Internal Investigations Handbook (2014); Untangling the Seamless Web: Seven Critical Assumptions When Planning Investigations, PLI Internal Investigations Handbook (2013); Doomsday Delayed: How the Court’s Party Neutral Clarification of Class Certification Standards in Walmart v. Dukes Actually Helps Plaintiffs, 62 DePaul Law Review 675 (2013).

Anthony is an active member of the Chicago Bar Association, where he sits on the Editorial Board of the CBA Record and serves as a Judicial Evaluation Committee investigator and is also a member of the committees on Futures and Derivatives Law, Financial and Investment Services, Securities Law, Professional Responsibility and Class Actions.

Anthony is admitted to practice in the State of Illinois; the United States Court of Appeals for the Sixth Circuit, Seventh Circuit and Ninth Circuit; and the United States District Court for the Northern District of Illinois (Trial Bar), Eastern District of Michigan and District of Colorado.

Anthony earned his juris doctor with honors from The Ohio State University Moritz College of Law, where he was elected to the Order of the Coif, was recognized as a Public Service Fellow, served as Managing Editor of The Ohio State Journal on Dispute Resolution, was selected as a research assistant to Professor Arthur F. Greenbaum (Civil Procedure and Professional Responsibility) and Robert C. Berry (Sports Law and Regulation), and earned the CALI award for Consumer Law, the Albert A. Levin Memorial Award for Legal Professions and the CALI Excellence for the Future Award. Mr. Fata received his undergraduate degree from Miami University in 1995, where he was selected to serve on the Miami University Student Foundation.

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