Your livelihood. Your business. Your reputation. Protected.

Attorneys serving financial and securities industry professionals and entrepreneurs

We are Fierce Advocates Who Deliver Practical and Creative Solutions to Support Your Success

Warren Law Group - The Smart Choice

Warren Law Group: The Smart Choice

WLG provides legal representation to financial services professionals and business owners in regulatory and compliance matters, litigation, and securities transactions. Our representation is built on the desire to protect our clients' livelihoods, businesses, and reputations. We are tireless advocates who will settle for nothing less than a positive resolution to your matter.

Experience matters

The WLG team has a deep understanding of the intricacies of the financial industry as well as a background in the industry itself. Our combined knowledge, sharp and creative insight, and relentless efforts yield results that consistently exceed our clients’ expectations.

Our approach is as unique as your situation

Through tailoring our counsel to the interests, needs, and objectives of our clients, we help our clients turn adversity into opportunity. Every matter is handled with the same level of care and commitment as if it were our own.

White Collar Defense and Investigations

Services include:

  • White Collar Defense and Internal Investigations
  • Governmental Investigations and Regulatory Enforcement

Corporate Governance and Regulatory Compliance

Services include:

  • Corporate Structuring and Governance
  • Financing Transactions and Raising Private Capital
  • 144A Opinion Letters
  • Broker-Dealer Formation and Continuing Membership Applications
  • Advising Registered Representatives and Principals
  • Commodities Regulations
  • Broker-Dealer Transition Assistance, Contract Negotiation, and Litigation
  • Investment Advisor and Solicitor Formation and Compliance
  • Money Services Businesses and Money Transmitter Businesses

Corporate Law and Financial Transactions

Services include:

  • Corporate Counsel
  • Start-Up Counsel
  • Hedge Funds, Private Equity, and Venture Capital Firms
  • Mergers and Acquisitions
  • Non-Profit Organizations
  • Real Estate Securities Investments

Blockchain Offerings, Cryptocurrency Defense, and Investigations

Services include:

  • Blockchain Offerings, Cryptocurrency Defense, and Investigations

Estate and Tax Planning

Services include:

  • Trusts and Estate Planning
  • Wyoming Statutory Trusts
  • International Clients and Commerce Guidance
  • Tax and Audit Services

Commercial Litigation

Services include:

  • Partnership Disputes and Dissolution
  • Accounting Actions
  • Business and Partnership Fraud
  • Commercial Litigation and Breach of Contract
  • Breaches of Fiduciary Duty

Corporate Bankruptcy and Debt Restructuring

Services include:

  • Corporate Bankruptcy and Debt Restructuring

Securities Litigation and FINRA Arbitrations

Services include:

  • Shareholder Litigation
  • Securities and Commodities Litigation
  • Whistleblower Representation
  • Real Estate Securities Litigation
  • Legal Issues with Real Estate Securities
  • FINRA Expungements and Arbitration

Meet Our Team

WHY CHOOSE US?

BUSINESS EXPERIENCE

WE HAVE FIRST-HAND EXPERIENCE RUNNING SEVERAL BUSINESSES.

LEGAL EXPERIENCE

OUR COMBINED LEGAL EXPERIENCE SPANS OVER MULTIPLE DECADES.

AFFORDABLE

YOU CAN BE CERTAIN YOU ARE RECEIVING EXCELLENT LEGAL COUNSEL
AT A COST TAILORED TO YOUR NEEDS.

BROAD INDUSTRY EXPERIENCE

WE HAVE WORKED WITH BUSINESS OWNERS IN A VAST
ARRAY OF INDUSTRIES.

RELIABLE

WE WILL GO ABOVE AND BEYOND TO ENSURE THAT WE GET
THE JOB DONE.
All
  • All
  • News & Press
  • Published Works

Is It Necessary Under Rule 2080 to Obtain Court Confirmation of an Expungement Award?

Simply put, the answer is yes. FINRA Rule 2080 (“Rule 2080”) is complex and must be followed properly to obtain...
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Warren Law Group Welcomes Scott J. Oh as Partner

                                             FOR IMMEDIATE RELEASE Contact: Katie Lenda Email: katie@warren.law                                                                      Scott J. Oh: Partner at Warren Law Group [NEW...
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What Type of Information Can Be Expunged Under Rule 2080

The Financial Industry Regulatory Authority (FINRA) is a self-regulatory agency that oversees all activity within the securities industry. One common...
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Your case matters. We can help.