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Michael Weiner is a director in the Lake Oswego, Oregon office of Bates Private Capital, an LECG company, where he uses his extensive legal, compliance, and regulatory experience to consult and to testify on matters involving securities, futures, options, and derivatives. Before joining LECG, Mr. Weiner was a managing director and shareholder of Bates Private Capital, a firm that provided litigation consulting, financial analysis, market trend research, and expert witness testimony for securities and other financial-related matters.
Of special note in his testimony history, asterisked infra, are testimonies as an expert in the Royal Courts of Justice, London, England, on behalf of the New York State Attorney General, and in various federal, state, and bankruptcy courts.
In the practice of law, Mr. Weiner has had governmental, private, and institutional experience. In his governmental work, he was a trial attorney in the Office of the General Counsel of the US Department of Agriculture, Commodity Exchange Authority, the predecessor agency of the Commodity Futures Trading Commission. In that capacity, he represented the government in prosecutions of significant alleged abuse of the futures laws in court, administrative proceedings, and settlement negotiations. He also aided Congress and congressional staff in amending the Commodity Exchange Act to, among other major changes, create the Commodity Futures Trading Commission.
In the private practice of law, Mr. Weiner was an associate with the Chicago law firm of Moses, Gibbons, Abramson & Fox where he represented broker-dealers, futures commission merchants floor brokers, and the Mid-America Commodity Exchange. Later in his career, he was the managing partner of a firm, Law Offices of Filler & Weiner, specializing in securities, futures, and related corporate matters.
In his institutional-financial legal career, Mr. Weiner was the vice-president and chief legal officer of the Chicago Mercantile Exchange and the head of the departments of law, financial audit, government relations, compliance, surveillance, internal audit, and membership. At the Chicago Mercantile Exchange, then the second-largest futures exchange in the world, he was responsible for all self-regulatory activities including the prosecution of and discipline of members, trading floor activity, response to governmental actions and inquiry, rule change, clearing, customer grievance, and net capital issues. He was also the principal congressional and agency lobbyist for the exchange (and the futures industry) until the exchange opened its Washington, DC office.
Also in the institutional-financial legal arena, Mr. Weiner spent four years as the vice-president, chief legal officer and secretary of the Options Clearing Corporation (a self-regulatory organization under the Securities Act of 1934), and its related corporation, the Intermarket Clearing Corporation. In that capacity, Mr. Weiner headed the departments of law, government relations, internal audit, and compliance. He was the principal liaison with the Securities and Exchange Commission and the Commodity Futures Trading Commission regarding all regulatory matters. Significant achievements during his years at the OCC were the publication of the industry booklet, Characteristics and Risks of Standardized Options, and the successful linkage of the American and Amsterdam Stock Exchanges for options trading and clearing.
Mr. Weiner has also founded and operated a broker-dealer and futures commission merchant to serve both the retail and wholesale securities and futures markets, has served on numerous industry boards and panel, and has written extensively on issues of futures, options, and securities. |
