Your livelihood. Your business. Your reputation. Protected.

Expert attorneys serving financial and securities industry professionals and entrepreneurs

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 Criminal 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

Commercial Litigation

Services include:

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

Estate and Tax Planning

Services include:

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

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

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

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  • Published Works

Warren Law Group: CanaFarma Complaint

CanaFarma Hemp Products Corp. ("CanaFarma") was recently indicted by the DOJ and concurrently, the SEC filed a complaint for securities...

The Pros & Cons of Investing in Private Equity

By Managing Partner Christopher Warren and Partner Todd Kulkin So you’re thinking of adding private equity to your investment portfolio....

NASAA 2021 Reg BI Phase Two Report Findings: Compliance is not as Strong as NASAA Hoped

The North American Securities Administrators Association (NASAA) released its 2021 Reg BI Phase One report last week. The findings ultimately...

Your case matters. We can help.