Bates News - 12-17-17

Expert Spotlight: Professor Ron Filler

Ronald H. Filler is a Bates Group affiliate expert in the area of financial services law.  He has served as an expert witness on 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.  He has 35+ years of experience in the futures/derivatives/securities industries and has served in both business and legal capacities.  Professor 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.

We are pleased to share Professor Filler’s upcoming 2018 publication and presentation and his recent 2017 published articles and speaking engagements:


  • Co-Author of “Whistleblowers – A Case Study in the Regulatory Cycle for Financial Services” to be published in the Journal of Law and Policy, Brooklyn Law School (Spring 2018)
  • Co-Author of “Ask the Professors – How Will the Recent Supreme Court Decision in SEC v. Kokesh Affect Future SEC and CFTC Enforcement Actions?” published in the Futures & Derivatives Law Report (September 2017 issue)
  • Author of “Ask the Professor – What is the Impact of the Recent Ninth Circuit Case of Paul Somers v. Digital Realty Trust, Inc. on the Dodd-Frank’s Anti-Retaliation Provision Involving Whistleblowers?” published in the Futures & Derivatives Law Report (June 2017 Issue).
  • Co-Author of “Ask the Professors – Will the Recent Supreme Court Case in Salman Result in More CFTC Enforcement Actions Charging Insider Trading?” published in the Futures & Derivatives Law Report (March 2017 Issue)
  • Co-Author of a "Law Treatise on Regulation of Financial Derivatives Instruments," Swaps, Options and Futures, published 2014.

Speaking Engagements

  • Presentation on the “Regulation on Commodities Trading” at a program sponsored by the Government of Nigeria, in Abuja, Nigeria, Spring 2018
  • Presentation on “International Regulation of Financial Markers and What is the New Regulatory Landscape in the U.S.” for Sociedad Hipotecaria Federal, in Mexico City, Mexico, November 2017
  • Presentation before the Banking Law Department of the University of Pretoria School of Law on “International Regulation of Financial Markets” in Pretoria, South Africa, August 2017.
  • Presentation before the Peru SBS Banking Department on “International Regulation of Financial Markets” in Lima, Peru, July 2017

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