Before joining Arete in 2013, UnBo (Bob) Chung was Senior Regional Counsel for the Financial Industry Regulatory Authority (FINRA) for nearly a decade. While with FINRA, Bob investigated hundreds of cases and brought over 150 enforcement actions against firms and individuals for violations of FINRA Rules and Federal Securities Laws. Prior to FINRA, Bob was a prosecutor in Chicago specializing in complex financial crimes and government corruption. He has never lost a criminal trial or a FINRA enforcement hearing.
As Arete’s General Counsel, he ensures the firm is fully compliant with the securities industry’s myriad rules, laws and regulations. Bob received his B.A. from Oberlin College and his J.D. from Loyola-Chicago School of Law. He received a second law degree, a LL.M., in Financial Services Law from the IIT/Chicago-Kent College of Law. He also holds FINRA securities licenses Series 7, 24, and 66.