Whalen Law Office Adds Former SEC Enforcement Leader James ‘Jim’ Etri as Of Counsel

Former Senior Enforcement Leader from the U.S. Securities and Exchange Commission (SEC) Joins Texas-based Criminal Law Firm.

Whalen Law Office is thrilled to announce the addition of James “Jim” Etri, a former senior enforcement leader at the U.S. Securities and Exchange Commission, to their team as Of Counsel. With over twenty years of experience at the SEC, Etri has decided to transition into private practice to offer guidance to individuals and companies dealing with securities-related and white-collar investigations.

Throughout his tenure at the SEC, Etri handled and oversaw numerous enforcement cases involving accounting fraud, insider trading, Ponzi schemes, offering frauds, and whistleblower retaliation. His work included the landmark enforcement action under Rule 21F-17, focusing on strengthening whistleblower protections. Additionally, Etri was involved in several high-profile cases that garnered national attention, featuring on CNBC’s American Greed and ABC’s Nightline.

Bringing a unique perspective from his time in government service, Etri collaborated closely with federal and state regulators as well as law enforcement agencies like the U.S. Department of Justice, FBI, FINRA, and the Texas State Securities Board. Notably, he served as a Special Assistant United States Attorney for a significant accounting fraud prosecution and received multiple awards from the SEC Enforcement Director for his contributions to important cases.

Reflecting on his decision to move into private practice, Etri stated, “After dedicating more than two decades to the SEC, I felt it was the right time in my career to make this transition. I wanted to focus on specific cases where my SEC background could make a real difference, and Whalen Law offers the ideal platform for this endeavor. This partnership allows me to merge my knowledge of government operations with client-centered legal representation.”

At Whalen Law Office, Etri’s primary focus will be on securities enforcement defense, conducting internal investigations, and handling white-collar cases. His approach is centered on supporting clients as they navigate government inquiries by providing clear communication, strategic counsel, and a comprehensive understanding of how enforcement agencies function.

Etri will operate out of the Frisco, Texas office of the law firm.

Whalen Law Office is a Texas-based legal firm specializing in offering strategic representation in intricate litigation, white-collar defense, and regulatory affairs. Their commitment lies in providing pragmatic and result-oriented counsel tailored to the specific needs of each client.