Wheeler provides legal counsel and representation to firms and individual professionals in the securities industry, where the law is constantly changing and there is a complex interplay between overlapping regulatory authorities. We provide legal services to investment advisers and broker-dealers in the areas of professional registration, compliance and client relations. We have experience dealing with matters involving the Securities and Exchange Commission, the Wisconsin Department of Financial Institutions, and self-regulatory organizations such as FINRA and the Board for Certified Financial Planners.
Our attorneys can provide sound forward-looking guidance, such as drafting compliance manuals, advising on compliance matters and legal duties, preparing professional registration and compliance filings, and other matters of concern to securities professionals. We also represent firms and individuals in proceedings before various regulatory agencies and in civil court litigation.