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. Anthony represents clients in litigation and regulatory proceedings in jurisdictions throughout the country. He conducts internal investigations on behalf of financial service firms and other businesses and represents individuals in internal investigations. He also represents clients in business tort and commercial matters.

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 is an adjunct professor for the Seton Hall Law University School of Law’s distance learning program, where he teaches M.S.J. and LL.M candidates in Corporate Governance Enforcement and Risk Management, Securities Regulation and Compliance, and Corporate Law.

Anthony has authored, paneled and taught numerous articles and courses relating to securities, commodities, class actions, and internal investigations. More recent panels and publications include: Corporate Cons in the 21st Century: Dealing with the Global Employee Fraud Epidemic, PLI Internal Investigations Handbook (March 2017) (co-authored with Corey M. Martens); Internal Investigations Seminar Panelist, Practicing Law Institute (2013-2016); Mitigating, Detecting, and Dealing with Employee Fraud – The Problem of the Inside Job, CBA Record (January 2017) (co-authored with Corey M. Martens); The Investigation is Internal, But Is This Document Privileged? An Overview of Privilege Issues in Internal Investigations, PLI Internal Investigations Handbook (April 2016); The Securities Exchange Commission’s Whistleblower Program, PLI Internal Investigations Handbook (March 2015); The Commodity Futures Trading Commission’s Whistleblower Program, PLI Internal Investigations Handbook (March 2014); Untangling the Seamless Web: Seven Critical Assumptions When Planning Investigations, PLI Internal Investigations Handbook (2013); and 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 (March 2013).

Anthony is an active member of the Chicago Bar Association, where he serves on the Editorial Board of the CBA Record and as a Judicial Evaluation Committee investigator. He 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 (including its Trial Bar), Eastern District of Michigan and District of Colorado.

Education 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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