Photo of Steven J. Rotunno

Steven J. Rotunno

Principal
Litigation and Dispute Resolution Deputy Group Leader

Office

T:
+1.312.460.4261
O:
+1.312.460.4200
F:
+1.312.460.4201
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Education

Loyola University of Chicago School of Law, J.D.

University of Illinois Champaign-Urbana, B.S.

Bar Admissions

Court Admissions

U.S. Court of Appeals

  • Seventh Circuit

U.S. District Court

  • Northern District of Illinois
  • Northern District of Illinois Trial Bar
  • Central District of Illinois
  • Eastern District of Wisconsin

Steven J. Rotunno has more than three decades of experience representing corporations, partnerships and financial services professionals in complex and wide-ranging legal matters, including investment advisory services, securities matters, employment law, title insurance claims and general commercial litigation.

He represents clients before federal and state courts, as well as the Securities and Exchange Commission, New York Stock Exchange, Financial Industry Regulatory Authority, and the American Arbitration Association in issues involving restrictive covenants, regulatory investigations  and business disputes. He provides counsel to individuals and registered investment advisory firms in connection with mergers and acquisitions and preparing the Form ADV, client investment management agreements, compliance manuals and other necessary documents. He also serves as an arbitrator for the Financial Industry Regulatory Authority.

Steve is a frequent speaker on business issues, including the ever-evolving securities regulatory environment, restrictive covenants in employment agreements, business succession plans and contract enforcement.

Representative Matters

Honors

Illinois Super Lawyers, Commercial Litigation

Illinois Leading Lawyers, Commercial Litigation

University of Illinois, Phi Beta Kappa

Professional Activities

American Bar Association

Professional Liability Underwriting Society

Forensic Expert Witness Association

Chicago Bar Association

Chicago Bar Foundation

Civic, Cultural & Social Activities

Loyola University of Chicago School of Law Alumni Association, former Board of Governors President

Speeches

"Don't Blow Up Your Business - Succession Planning," (Co-Presenter) Advanced Wealth Managers Council Symposium, Charleston, South Carolina, June 13, 2016

"Business Succession Planning," Keeley Investment Corporation Program, June 2015, and TD Ameritrade Program, March 2015

“Legal Aspects and Documents for Business Transition -- Accelerating Success Through Business Transition,” DeVoe & Company Program, June 2013

“Succession Planning Issues for Registered Investment Advisors,” TD Ameritrade Program, May 2012

“Don’t Blow Up Your Business: Avoid SEC Scrutiny, Use Social Media Correctly, and Protect the Goodwill of Your Business” (Co-presenter), TD Ameritrade Program, May 2011

“Restrictive Covenants for Employees” (Co-presenter), Primerus International Seminar, May 2011

“Changes in the Regulatory Scheme for Investment Advisors,” Charles Schwab & Co. Program, December 2010

“The Risks Inherent in Selling Securities and Raising Capital and How to Protect Against Unwanted Liability,” Primerus International Seminar, June 2010

“Coping With Turbulent Markets and an Uncertain Future -- a Primer on Financial, Business Succession and Estate Planning,” KFTR Client Seminar, June 2009

“Best Practices for Investment Advisors in a Changed Environment” (Co-presenter), Charles Schwab & Co. Program, June 2009

Presenter, “How Attorneys Select Expert Witnesses,” Forensic Expert Witness Association Program, October 2008

“Making Health Care Business Decisions Without Being Sued,” Healthcare Liability Issues in the 90s, Seminar Presented by Sedgwick, Detert, Moran & Arnold, 1994

Publications

Want to Buy or Sell a Registered Investment Advisory Business” (Co-author), White Paper for Charles Schwab & Co., 2010

“Succession Planning Issues for Registered Investment Advisors” (Co-author), White Paper for Charles Schwab & Co., 2010

“Bad Weather – is it an Excusable Delay,” American Subcontractors Association Magazine, 1998

“Claims Against Owners for Failing to Provide Superior Knowledge of a Site Condition,” American Subcontractors Association Magazine, 1997

“Specifications and Drawings – Which Take Precedence If There Is a Conflict,” American Subcontractors Association Magazine, 1996

“Commercial Liability Issues,” Healthcare Liability Deskbook, Sedgwick, Detert, Moran & Arnold Publication, 1994

“Standard of Liability of Directors and Officers of Federally Insured Depository Institutions in Civil Suits Brought by the FDIC,” IBA LAWwatch, Illinois Bankers Association, 1993

“Fidelity Bonds -- Discovery of a Loss and Notice to the Insurer,” Chicago Surety Claims Association, 1992

Articles