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 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

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

  • All
  • News & Press
  • Published Works

Securities Law: What Investment Advisors Need to Know About New SEC Limits on Disgorgement

On June 22, 2020, a ruling by The U.S. Supreme Court placed new limits on the Securities and Exchange Commission’s...
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SEC Proposes Amendments for Institutional Investment Managers

The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to update the reporting threshold...
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Global Pandemic or Not, Regulation BI is Here – Here Is FINRA’s Guidance

Despite the devastating effects of the Covid-19 pandemic on the country and the economy, on June 30, 2020, the United...
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Your case matters. We can help.