James “Jim” Etri
Of Counsel, Whalen Law Office
Jim joins the firm after more than 20 years as an enforcement leader with the U.S. Securities and Exchange Commission, where he investigated and supervised hundreds of matters involving accounting fraud, whistleblower protections, Ponzi schemes, and insider trading. His work included several nationally recognized enforcement actions, and his investigative efforts were featured on American Greed.
In private practice, Jim focuses on securities-related and white-collar investigations, bringing a rare combination of deep institutional knowledge, technical skill, and practical judgment. Known for an open, transparent approach, he prioritizes clear communication and thoughtful strategy for individuals and companies navigating complex government inquiries.
While at the SEC, Jim regularly worked with financial institutions, state and federal regulators, and law enforcement, including those at the Texas State Securities Board, FINRA, FBI, and the U.S. Department of Justice. He also served as a Special Assistant United States Attorney with Main Justice to help prosecute one of his accounting fraud cases. Jim received numerous SEC Enforcement Director awards for his work on high-profile matters. Before joining the SEC, Jim practiced at Baker & McKenzie’s Dallas office and clerked for Justice Ovard at the Dallas Court of Appeals.
Jim will be based out of our Frisco office and will partner with Whalen Law as the platform for selective, referral-based engagements where his background offers distinctive value.
Personal
Jim lives in the Lake Highlands area of Dallas and will be based out of Whalen’s Frisco office. He and his wife have been married for 26 years and have two adult children who now reside on the West Coast – one working in Los Angeles and the other currently in college in Southern California.
A lifelong soccer enthusiast – go Swansea! – Jim has spent more than 25 years coaching competitive soccer, training athletes ranging from youth players to adults pursuing professional opportunities. He often jokes that he is “a soccer coach who happens to be a lawyer,” a nod to his passion for the sport.
Outside of work, Jim and his wife enjoy traveling – especially to Maui, their self-described “home away from home” – as well as exploring craft breweries and unwinding over a casual night out watching sports with a burger and a beer.
Education
Southern Methodist University School of Law, J.D., cum laude, 1997
Miami University, B.S., Finance, 1994
Admissions
State Bar of Texas
Representative matters (selected)
- SEC v. Ephren Taylor, et al. — affinity-fraud enforcement matter (featured on American Greed and Nightline).
- In the Matter of KBR, Inc. — SEC’s first case addressing Rule 21F-17 whistleblower protections.
- SEC v. CryptoFX, et al. — $300M Ponzi scheme targeting the Latino community.
- In the Matter of Fleming Companies, Inc. — accounting fraud involving country’s then-largest grocery wholesaler and several national food vendors