Funds and Investment Services

Warner's securities attorneys have a depth of experience representing broker-dealers, investment advisers and securities underwriters through the complete spectrum of securities regulation, litigation and enforcement issues.

The law firm represents numerous members of the Financial Regulatory Authority (FINRA), and a number of regional brokerage firms in the Midwest and throughout the United States.

Warner's attorneys are involved in advisory roles at a national level. Our attorneys regularly assist clients with national administrative investigations, public and private securities offerings, and mergers and acquisitions, change of control, and other regulatory issues affecting broker-dealers and investment-advisers.

We advise investment-managers about federal and state securities regulation of private investment funds. We assist managers in forming and distributing fund investments to investors.

Our attorneys also work with registered representatives, financial planners and others to cover all aspects of conducting business in the securities industry, including changing firms, buy or selling advisory practices and books of business, and dealing with no-competes and similar industry-specific contracts and issues.

NOTICE. Although we would like to hear from you, we cannot represent you until we know that doing so will not create a conflict of interest. Also, we cannot treat unsolicited information as confidential. Accordingly, please do not send us any information about any matter that may involve you until you receive a written statement from us that we represent you.

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