Seth has a unique background and skill set, having served over the last decade in leadership and management roles for a quantitative trading and investment management firm and a start-up family office and proprietary trading firm, including General Counsel and Chief Administrative Officer for quantitative trading businesses, Chief Legal Officer for an investment management business, Chief Executive Officer of a broker-dealer, and President of a derivatives trading business. In these roles, Seth has handled all legal and regulatory affairs for these trading and investment firms, including corporate structuring; broker, exchange and other counterparty relationships; regulatory matters and inquiries; trading issues and operational support; equity and debt financing transactions; asset sales; telecommunications transactions; employment matters; compensation and employee equity plans; partnership and joint venture agreements; intellectual property and restrictive covenant matters; tax planning; international expansion; launch of new business units and regulated entities; vendor contract negotiation; dispute resolution; and risk management. He has also negotiated agreements for the entry and exit of firm partners, equity stake holders, and senior employees. His skills and experience combine a deep practical understanding of quantitative trading and the financial markets and regulation, as well as corporate, intellectual property, tax, and business issues faced by financial market participants.

Seth has previously held Series 56 and 24 licenses, and served on the executive committee of the Futures Industry Association, Principal Traders Group.

Seth also has significant litigation and internal investigations experience, including first chairing complex litigation and arbitrations. Seth has experience in financial services litigation, handling regulatory inquiries and internal investigations, and in defending enforcement matters. Seth’s experience includes matters involving trading issues, spoofing, disruptive trading, exchange rules, broker-dealer issues, and financial reporting. Seth likewise has substantial experience more broadly in civil litigation and criminal matters, including intellectual property, trade secret, non-compete/restrictive covenant, real estate and bankruptcy litigation, and litigation arising out of partnership and other business disputes.

Prior to taking a role as General Counsel, Seth was a litigation partner with Jenner & Block. There, as a member of the firm’s litigation and white collar criminal defense groups, he was a member of the Examiner’s investigation team in the Lehman bankruptcy, and successfully tried several cases, including matters arising from allegations of fraud and mismanagement, trade secret misappropriation, violations of a non-compete and restrictive covenants, breach of a pharmaceutical licensing agreement, a dispute in an airline bankruptcy proceeding, and felony criminal matters. He also successfully litigated and resolved several cases on the eve of trial, including multi-million dollar fraud, breach of fiduciary duty, breach of contract, and other claims arising out of a real estate development joint venture, a failed software development project, the retention of customer information, and alleged misappropriation of trade secrets relating to the manufacture of a major building product.

Seth received his J.D. (cum laude) from Northwestern University School of Law and his B.B.A. (magna cum laude) in accounting from Baruch College, City University of New York.