Christopher Lombardy currently resides in New York, NY.  In addition to working for Ruddy Law Office, PLLC in an of-counsel capacity, he serves as Managing Director of Spectrum Global Solutions, LLC, successor to Breakwater Compliance Partners, LLC, of which he is a Founding Partner. Mr. Lombardy’s prior work experience includes serving as the Chief Compliance Officer and Legal Counsel for SG Asset Management, Inc., a Securities and Exchange Commission Registered Investment Adviser and fund-of-funds manager.  From 2002-2004, Mr. Lombardy was an associate at the New York law firm of Sadis & Goldberg in the firm’s Financial Services group.   From 1998-2002 Chris worked in the Prime Brokerage, Legal, and Compliance Departments of Spear, Leeds & Kellogg, a Goldman Sachs Company.

Mr. Lombardy earned his Juris Doctor form St. Thomas University School of Law in Miami, FL and also holds a Masters of Business Administration in Finance and a Bachelors degree in International Finance, both from the American University in Washington, DC.   A member of the New York and New Jersey State Bars, Mr. Lombardy’s practice in the District of Columbia is limited to proceedings before federal courts and matters concerning federal agencies.

Robert Ruddy’s legal career began as an Assistant District Attorney in South Dakota, his home state.   He then embarked on a twenty year career  working with both the U.S. Congress and several federal agencies.   During his tenure in the federal government, Mr. Ruddy worked six years as counsel on the House Banking, Finance and Urban Affairs Committee (the predecessor of the Financial Services Committee).  He subsequently served as the Republican Staff Director for the House Banking Subcommittee on Housing and Community Development.   Mr. Ruddy also worked as Congressional Liaison for the U.S. Department of the Interior and Deputy Under Secretary for the U.S. Department of Housing and Urban Development. Upon leaving Capitol Hill, Mr. Ruddy served as a governmental and legislative consultant to financial institutions.

Mr. Ruddy earned his B.A. degree from the University of South Dakota and his J.D. from  the George Washington University Law School.  He is a member of the District of Columbia Bar and an inactive member of the South Dakota bar.

Christopher Pilkerton directs the firm’s litigation practice.  Mr. Pilkerton has most recently served as Senior Counsel to the Enforcement Division of the U.S. Securities and Exchange Commission.  His responsibilities at the SEC included investigating corporate accounting fraud schemes, hedge fund and penny stock manipulation, international stock swaps, and insider trading among corporate boards and investment trusts.  During this time, Mr. Pilkerton worked closely with the New York Stock Exchange, the National Association of Securities Dealers, and several of the securities agencies throughout Europe and South America. 

Prior to working at the SEC, Mr. Pilkerton was a trial attorney in the Manhattan District Attorney’s Office.  During his tenure he handled prosecution in an array of criminal matters from narcotics trafficking to white collar crimes, with a focus on money laundering, tax fraud and terrorism inquiries.  In addition, he worked closely with the Federal Bureau of Investigation and the New York Police Department in conducting wiretap investigations and jury trials.   Mr. Pilkerton has also conducted international financial investigations while working for a private firm under the direction of the former Director of Worldwide Operations for the Central Intelligence Agency.

Mr. Pilkerton’s unique background and industry knowledge enables us to provide comprehensive litigation representation to both private individuals and corporate entities.  He currently handles enforcement matters before the SEC, CFTC, and the NFA, including Reparations matters and Business Conduct Committee proceedings.  Mr. Pilkerton also represents parties in NASD Arbitrations and oversees the general financial litigation practice for the Firm.  As a former law enforcement official in the area of Anti-Money Laundering, Mr. Pilkerton provides auditing and advisory services in the areas of AML as well.  Mr. Pilkerton is a member of both the New York State and District of Columbia Bars.

Mr. Pilkerton is a Washington, D.C. native and an active supporter of community involvement.  He holds a Masters of Public Affairs from Columbia University in addition to a JD and a Certificate in Public Policy, as awarded by the Catholic University of America.  While in law school, he was Executive Editor of the Journal of Contemporary Health Law & Policy and clerked for several federal agencies including the U.S. Department of Justice Divisions of Organized Crime and Racketeering, Office of International Affairs, and the U.S. State Department’s Office of International Narcotics and Law Enforcement.  He has authored several articles that have been cited by the U.S. Court of Appeals for the Ninth Circuit, the United Nations, and law journals published by Harvard University, among others.  Mr. Pilkerton has lectured at universities on the topics of organized crime and international money laundering, and currently teaches at the Catholic University of America Law School.  Mr. Pilkerton is active in several professional committees of the American Bar Association including the Young White Collar Crime Attorneys Group, as well as the Committee on Hate and Violence in Montgomery County, Maryland. 

Mark Ruddy is a securities and commodities attorney and consultant whose practice focuses on transactional matters.   He represents registered investment advisers, currency dealers, commodity futures registrants (including futures commission merchants, commodity pool operators, and commodity trading advisers), hedge funds, and other members of the financial community.  His experience in the alternative investments industry spans over ten years. 

Prior to becoming a consultant and attorney in private practice, Mr. Ruddy worked for a U.S. Securities and Exchange Commission (“SEC”) registered investment adviser and operator of several private investment partnerships, where he completed financial reporting and handled compliance matters.  He also has experience as a former compliance examiner with the National Futures Association.

Mr. Ruddy has performed expert witness work in derivatives and brokerage related cases in arbitration and court.  He has been a contributing writer to industry related publications, seminar speaker in the industry, and law school lecturer in the field of derivatives and hedge funds.  He currently teaches at the Catholic University of America Law School.  He also currently serves on the Board of Directors of several investment funds. 

Mr. Ruddy is a Member of the Managed Funds Association, the largest industry trade association, and the New York State Bar Association’s Committee on Futures and Derivatives Law. He also served on the Managed Fund Association’s Emerging Manager Committee.   A Member of the New York State Bar, his legal work in the District of Columbia is limited to proceedings before federal courts and matters concerning federal agencies. 

Mr. Ruddy earned his Juris Doctor from the Catholic University of America, and undergraduate degrees in finance and accounting from Fairfield University and New York University, respectively.