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Ronald Filler

Ronald Filler

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.

Ronald is a consultant and subject matter expert in these Practice Areas and Services:

Credentials

CURRENT POSITION

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.

  • He has taught several courses at NYLS, including Securities Regulation, Derivatives Market Regulation, Regulation of Broker-Dealers and Futures Commission Merchants, Regulatory Policy and Financial Services Seminar and Workshop.

EXPERIENCE

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

OTHER TEACHING / ACADEMIC EXPERIENCE

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

EDUCATION

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

INDUSTRY LEADERSHIP

  • Inducted into the Futurtes Industry Association Hall of Fame, March 2022Chair, The Ronald H. Filler Institute for Financial Services Law at New York Law School, March 2021 to Present
  • Member, Board of Directors (Public Director) of the National Futures Association, 2010 to Present; Member, Executive Committee of the National Futures Association, 2014 – 2020; Member, Board of Directors of the National Futures Association, 1983 – 1985
  • Member, Governance Advisory Committee of the National Futures Association, 2012 - Present
  • Member, Membership Committee, National Futures Association, 2015 – Present
  • Member, Swap Proficiency Examination Committee of the National Futures Association, 2019 -Present
  • Member, Swap Advisory Committee of the National Futures Association, 2011 - 2012
  • Member, Special Committee for the Protection of Customer Funds of the National Futures Association 2012
  • Chair, Special Committee on BRG Recommendations for Customer Protections, National Futures Association, 2013
  • Member, Board of Directors (Public Director) of SWAP-EX, a swap execution facility (SEF) owned by State Street Corporation, 2013 - Present
  • Chair, Regulatory Oversight Committee (ROC) of SWAP-EX, 2013 - Present
  • Chair, Nominating Committee of SWAP-EX, 2013 - Present
  • Member, Board of Directors, GCSA, LLC, a company that provides collateral management and liquidity to Clearinghouses around the globe, 2012 to Present
  • Member, Board of Directors (Public Director) of Bcause, LLC, a proposed DCM and DCO, 2018 - 2019
  • Member, Advisory Committee of The Noble Group, 2018 - Present
  • Chair and Member, Global Markets Advisory Committee (GMAC) of the U.S. Commodity Futures Trading Commission, 2012 - 2013; Former Member of GMAC, 2004 - 2008
  • Testifying Expert, Bates Group LLC, 2015 - Present
  • Member, NYSE Hearing Board and NYSE Acceptability Hearing Board, 2014 - Present
  • Vice-Chair, International Financial Products and Services Committee, ABA Section on International Law, 2015 - 2017
  • Member, Risk Advisory Committee of New York Portfolio Clearing, 2011 - 2013
  • President,1998 – 2000; Secretary,1995 – 1998; Member of the Executive Committee, 1980 - Present, FIA Law and Compliance Division     
  • Member, Board of Trustees, The Clearing Corporation Charitable Foundation, a 501(c)(3) Organization, 2007 to Present
  • Member, Editorial Board of “Futures & Derivatives Law Report”, a Publication by The Journal on the Law of Investments & Risk management Products, 1998 - Present
  • Member, Editorial Board of the NY Business Law Journal, a Publication of the Business Law Section of the New York State Bar Association, 2011 - Present
  • Serves as an arbitrator to numerous FINRA and NFA arbitration proceedings. including serving as Panel Chair.
  • Serves as Expert Witness on several major civil and criminal litigation and enforcement matters relating to Futures, OTC Derivatives, Capital Markets, Securities, Margins, Clearing Issues, Customer Asset Protections, Hedge Funds, Mutual Funds, Asset Management, Events of Defaults, Bankruptcy Issues, Suitability Issues, Theories of Agency Liability, and Supervisory Responsibilities of Financial Firms. A list of the cases is set forth below.
  • Acts as a Consultant involving all aspects of futures, securities, derivatives and other investment products and the management, operation, and administration of global financial services firms.
  • Provides consulting services to governmental regulators around the globe
  • Provides educational and training courses and programs on a variety of issues facing the global financial services industry.
  • Member, Board of Directors (Public Director) of NYSE LIFFE US, a subsidiary of NYSE EURONEXT, 2010 - 2013
  • Member, Regulatory Oversight Committee (ROC) of NYSE LIFFE US, 2010 - 2013    
  • Senior Consultant, Allen & Overy, a large international law firm, 2010 - 2013
  • Member, Business Conduct Committee, New York Mercantile Exchange, 2008 - 2011    
  • Member, Board of Directors, The Clearing Corporation, 2005 – 2007
  • Member, Clearing House Risk Advisory Committee, Chicago Mercantile Exchange, 2006 – 2008
  • Vice Chairman of BrokerTec Clearing Corporation, 2002 to 2003
  • Chaired Rules Committee of the BrokerTec Futures Exchange and BrokerTec Clearing Corporation, 2001
  • Chaired FIA Survey on Electronic Trading, 2001
  • Member, NFA Nominating Committee, 1997 and 2000
  • Member, Barings Task Force Study organized by the Futures Industry Association, 1996
  • Member, Risk Management Committee of the Futures Industry Association, 1995
  • Elected as one of the Best Lawyers in Illinois, 1991
  • Rated, AV, Martindale Hubbell Law Directory, 1990 - Present
  • Chair, Futures Law Committee, Chicago Bar Association, 1986
  • Chair, Sub-Committee of Futures Commission Merchants of the Futures Regulation Committee of the American Bar Association, 1985 – 1990
  • Member, Board of Directors of the Futures Industry Association, 1983 – 1985 and 2008 - 2010
  • Member, Board of Directors of the Mid-America Commodity Exchange, 1983 – 1985
  • Served as Moderator or Panelist on over 300 industry panels sponsored by American Bar Association, Chicago Bar Association, Chicago Kent College of Law, Futures Industry Association, Commodities Educational Institute, CFTC Program for International Regulators and other program sponsors, 1978 - Present
  • Author of numerous books, articles, and papers on a variety of topics facing the U.S. and international futures, securities, derivatives, and financial services industries.   See List of Publications below.
  • Member of numerous industry advisory committees sponsored by the FIA Law and Compliance Division
  • Member, Chicago Board of Trade, Chicago Mercantile Exchange, New York Mercantile Exchange, and other U.S. Exchanges, 2003 – 2008

NON-INDUSTRY POSITIONS

  • President, The Twin Eagles Club, Naples, FL, 2018 - 2020
  • President, Inverness Homeowners Association, Hamburg, NJ, 2007 - 2017
  • Treasurer and Tournament Chair, Crystal Springs Men’s Golf Association, Hamburg, NJ, 2010 – 2015

PUBLICATIONS

List of Publications upon Request

Contact Bates Group

Bates Group is with you every step of the way. Contact us today for more information on how our End-to-End Solutions can help your firm.