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Ronald H. Filler is a Bates Testifying Expert in financial services law. He has served as an expert witness on several major litigation matters relating to Futures, OTC Derivatives, Capital Markets, Securities, Margins, Clearing Issues, Energy Issues, Customer Asset Protections, Hedge Funds, Events of Defaults, Bankruptcy Issues, Suitability Issues, Theories of Agency Liability, and Supervisory Responsibilities of Financial Firms. Professor Filler has 35+ years of experience in the futures/derivatives/securities industries and has served in both business and legal capacities. Prof. Filler has worked on a variety of legal and regulatory issues throughout his career, with enforcement matters involving financial firms and with various financial products. He is a frequently requested speaker on trading and market regulation, both nationally and internationally, with recent appearances in Peru, South Africa, Mexico, and Nigeria.
Professor Filler joined the faculty of New York Law School in 2008 as a Professor of Law and the Director of the Financial Services Law Institute. He was the Director of the LL.M. in Financial Services Law Graduate Program, which offered more than 40 courses involving various aspects of the global financial services industry. Professor Filler teaches several courses at NYLS, including Derivatives Market Regulation; Securities Regulation, International Financial Services Law; and Regulation of Broker-Dealers and Futures Commission Merchants. He has also taught several courses on derivatives law at three other U.S. law schools, the first such course was taught in 1977 at the Chicago-Kent College of Law. At Chicago-Kent, he was the Founder and Director of the Commodities Law Institute, which was the leading CLE provider on Futures Law between 1978 and 1995.
Before joining the NYLS faculty in the spring of 2008, Professor Filler was a Managing Director in the Capital Markets Prime Services Department at Lehman Brothers where he had principal responsibilities over a variety of business and regulatory matters. Before joining Lehman Brothers in 1993, he was a Partner and Member of the Executive Committee of Vedder Price Kaufman & Kammholz, a large Chicago-based law firm. He has spoken at several hundred conferences and seminars involving various financial regulatory issues, with a special emphasis on the Dodd Frank Act that was enacted by Congress in 2010 and its impact on the financial community and the public and on energy related issues.
Professor Filler currently serves as an Independent Public Director of the National Futures Association (NFA), the industry’s self-regulatory organization and the primary regulatory auditor of most financial institutions involved in derivatives and serves on its Executive Committee. At the NFA, he has chaired a Special Committee which oversaw the audit practices and policies of the organization and serves on several other NFA committees. Professor Filler serves as an Independent Public Director of Swap-EX, a swaps execution facility owned by State Street, and serves as the Chair of its Regulatory Oversight Committee (ROC). He also serves as Public Director of GSCA, a company offering insurance and collateral management to clearing houses around the globe. He has previously served as Independent Public Director of NYSE Liffe US, a futures exchange previously owned by the New York Stock Exchange, and served on its ROC. Professor Filler has also served as the Chair of the Global Markets Advisory Committee of the U.S. Commodity Futures Trading Commission, the U.S. federal regulatory agency that oversees the derivatives markets. Throughout his 35+ years in the futures/derivatives/securities areas, he has served on several boards and advisory committees of U.S. exchanges and clearinghouses and other industry organizations.
Professor Filler has written extensively on issues involving the financial services industry, with a special emphasis on customer asset protections. Recent publications can be found below.
New York Law School, New York, NY; Professor Emeritus, January 2020 – Present; Formerly, Professor of Law, Director of the Financial Services Law Institute and Program Director of the LL.M. in Financial Services Law, June 2008 – December 2019; Chair of the newly-named Ronald H. Filler Institute on Financial Services Law, March 2021 – Present.
Bates Group LLC, Testifying Expert, 2014 - Present
Lehman Brothers Inc., Managing Director, and Director of Institutional Futures Administration, Capital Markets Prime Services Division, New York, NY, January 1993 – April 2008
Vedder Price, Partner, Senior Futures Lawyer, 1985 – 1993; Member of Executive Committee,1991-1993, Chicago, IL
Filler Weiner Zaner & Associates, a Futures Commission Merchant and Commodity Pool Operator, Managing Partner, Chicago, IL, 1980 – 1985
ContiCommodity Services Inc., a Futures Commission Merchant, Director of Managed Futures and Associate General Counsel, Chicago, IL, 1977 – 1980
Abramson & Fox, Associate, Chicago, IL,1976 – 1977
Division of Investment Management, U.S. Securities and Exchange Commission, Attorney, Washington, DC, 1973 – 1976
Chicago-Kent College of Law, Director and Founder of the Commodities Law Institute, Chicago, IL, 1978 – 1995
Chicago Kent College of Law, Member of Board of Overseers, 1980 – Present; Member Advisory Committee of LL.M. in Financial Services Law, 1985 – 1995; Adjunct Professor of Law, 1977 – 1993 Chicago, IL
University of Illinois College of Law, Adjunct Professor of Law, Champaign- Urbana, IL, Spring, 2008 and Spring, 2011
New York Law School, Adjunct Professor of Law, New York, NY, 2007
Brooklyn Law School, Adjunct Professor of Law, Brooklyn, NY,1993 – 1996
Bachelor of Arts (BA), Political Science, University of Illinois Champaign-Urbana Campus
Juris Doctor (JD), with Honors, George Washington University Law School
Master of Law (LL.M), Taxation, Georgetown University Law Center
List of Publications upon Request
