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Ken Yeadon is a former Assistant U.S. Attorney and SEC Enforcement Attorney. His practice includes representing and providing counsel to companies and individuals with government inquiries and investigations involving the SEC and other federal and state regulators, internal investigations, securities litigation, and other complex business disputes.

During his 10 years with the U.S. Attorney's Office in Chicago, Ken oversaw and led a number of significant investigations and prosecutions involving violations of the federal securities and commodities laws, insider trading, FCPA, bribery, forfeiture, money laundering, obstruction of justice, perjury, trade secret theft, and bank, health care, tax, and wire fraud. Ken also oversaw the U.S. Attorney Office's bankruptcy fraud program.

As an Assistant U.S. Attorney, Ken led investigations and prosecutions with numerous federal and state agencies, including the FBI, HUD, DOL, FDA, and IRS, as well as the Department of Homeland Security, U.S. Immigration and Customs Enforcement, and U.S. Postal Inspection Service. Ken worked closely with the SEC and the CFTC on parallel investigations.

During his seven years with the SEC's Division of Enforcement, Ken was the lead attorney on numerous high-profile investigations and prosecutions involving broker-dealers, investment advisers, public companies, accounting firms, officers and directors, and insider trading. Ken has extensive experience with the SEC's administrative hearing process, and has litigated matters before SEC ALJs and the Commission. At the SEC, Ken worked closely with U.S. Attorney’s Offices, FBI, State Attorney General’s Offices, and FINRA on parallel investigations.

Professional Background

Before joining Hinshaw & Culbertson LLP, Ken was for 10 years an Assistant U.S. Attorney in the Securities and Commodities Fraud Section at the U.S. Attorney's Office for the Northern District of Illinois. Before that, he was for seven years a Senior Attorney in the SEC's Enforcement Division in Chicago. During law school Ken served as a judicial intern to the Honorable Wayne R. Anderson, U.S. District Court, Northern District of Illinois.

Before his legal career, Ken was a CPA. He passed the Uniform CPA Examination in 1992.

Honors & Awards

  • Division of Enforcement Director's Award, SEC Division of Enforcement
  • Special Acts Award, SEC Division of Enforcement

Representative Matters

Ken has successfully tried 16 cases in federal district court and in SEC Administrative Proceedings, argued nine cases before the U.S. Court of Appeals for the Seventh Circuit, and led many investigations.

Following are details on a few of the cases Ken has handled:

  • Aircraft leasing company and its CEO were convicted of investor fraud, bribery, and obstruction of justice in a seven week trial in United States v. Brian Hollnagel and BCI Aircraft Leasing, Inc., et al.
  • Investment adviser for high net worth individuals was convicted of bank fraud in a two week trial in United States v. Robert Lunn.
  • Commodities trader was convicted of theft of trade secrets in United States v. David Newman.
  • Hedge fund manager was convicted of fraud in United States v. Neal Goyal.
  • Concrete company owner was convicted of bankruptcy fraud in a one week trial in United States v. Ronald Laverdure.
  • Aircraft leasing company executive was convicted of tax fraud in a one week trial in United States v. Christopher Keller.
  • Pharmacy owner was convicted of healthcare fraud in a two week trial in United States v. Katrin Saroukhanian.
  • Travel company owner was convicted of fraud in a two week trial in United States v. Rashid Minhas. Defendant was later convicted of selling fraudulent Hajj travel packages.
  • Real estate investor was convicted of bank fraud, mortgage fraud, and obstruction of justice in a two week trial in United States v. Keith Austin.
  • Investment adviser was barred from the industry for fraud in an SEC Administrative Proceeding in SEC v. Christopher A. Lowry.

Presentations

  • "Ethics in Negotiating and Documenting Private Transactions," Practicing Law Institute's Acquiring or Selling the Privately Held Company 2017 Conference, New York, New York, June 23, 2017.

  • "Latest SEC Enforcement and Regulatory Issues," Hinshaw University, Chicago, Illinois, May 24, 2017.
  • "FCPA and Anti-Corruption Due Diligence for Joint Ventures and Mergers and Acquisitions in Latin America," Trade Restrictions and Anti-Corruption Laws: The Realities of Doing Business in Latin America, Miami, Florida, May 9, 2017.

  • Instructor, U.S. Department of Justice Office of Overseas Prosecutorial Development Assistance and Training Programs, Bangladesh Police Staff College Financial Crimes Training Program, Dhaka, Bangladesh, January 2016.

Education

J.D., DePaul University College of Law, 2000

  • Journal of Health Care Law, Member

B.A., Accounting, Western Washington University, 1991

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