October 4, 2022

Volume XII, Number 277

David W. Soden

David W. Soden is an Associate at Vedder Price and a member of the firm’s Investment Services and Litigation practice groups in the Chicago office.

His practice includes the representation of broker-dealers, investment advisers, family offices, private funds, registered mutual funds, closed-end funds, exchange-traded funds and other financial institutions on a broad range of legal, regulatory, governance, formation, and compliance matters.

Mr. Soden has significant experience in regulatory and compliance matters affecting broker-dealers, investment advisers, investment companies and unregistered vehicles such as hedge funds, hedge fund of funds and other investment entities.  With respect to unregistered companies, Mr. Soden advises clients on fund formation and structuring matters for funds organized in the United States and abroad. He also counsels clients regarding examinations, investigations, and enforcement matters conducted by the Securities and Exchange Commission and other regulators such as the Financial Industry Regulatory Authority.

Prior to joining Vedder Price, Mr. Soden served as counsel for a financial organization consisting of multiple broker-dealers specializing in execution brokerage services and proprietary market making in options, equities, ETFs and futures. Mr. Soden also previously worked as a senior analyst at FINRA and has held both the Series 7 and Series 24 licenses.

While in law school, Mr. Soden was a Judicial Extern for the Honorable Virginia M. Kendall, U.S. District Court for the Northern District of Illinois, and the Honorable Robert E. Gordon, Illinois Appellate Court, First District, 6th Division. While attending Loyola University School of Law, Mr. Soden was Senior Editor for the Loyola Consumer Law Journal.

Articles in the National Law Review database by David W. Soden