Whalen Law Welcomes Former SEC Enforcement Leader James E. “Jim” Etri as Of Counsel

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.