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Funds and Investment Services


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

With respect to funds, we represent the funds themselves, in their organization, capital raising and portfolio company investment stages, as well as substantial investors in fund opportunities.

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 Norcross'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, buying or selling advisory practices and books of business, and dealing with non-competes and similar industry-specific contracts and issues.


Loren Andrulis



Shane B. Hansen



Funds and Investment Services

Funds and Investment Services Webinars

Related Publications


Order list by:
Photo of Malachi Alston
Malachi Alston
Photo of Loren Andrulis
Loren Andrulis
Photo of Kristina Araya
Kristina Araya
Photo of Edward Bardelli
Edward Bardelli
Photo of Sean Cook
Sean Cook
Photo of Diane Currie
Diane Currie
Photo of Dana Dawe
Dana Dawe
Photo of Shane Hansen
Shane Hansen
Photo of Timothy Horner
Timothy Horner
Photo of Matthew Johnson
Matthew Johnson
Photo of Norbert Kugele
Norbert Kugele
Photo of Hugh Makens
Hugh Makens
Photo of Rodney Martin
Rodney Martin
Photo of Brian Masternak
Brian Masternak
Photo of John Muhs
John Muhs
Photo of Jeffrey Ott
Jeffrey Ott
Photo of Lisa Zimmer
Lisa Zimmer

Case Studies



May 2017
May 24, 2017

Chief Compliance Officer Roundtable Series

The Skyline Club

You’re invited to join the Warner Norcross & Judd Chief Compliance Officer Roundtable Series, where we'll exchange information, ideas and best practices relevant to chief compliance o...

Jul 2012
July 11, 2012

Dodd Frank’s Impact on M&A Brokers

Warner Norcross & Judd's Shane Hanson will be speaking at the Alliance of Merger & Acquisition Advisors Summer Conference on July 10-12, 2012, in Chicago. Hanson will participate ...

Jun 2012
June 05, 2012

Triangular Mergers May Be Your Answer - Mitigating Liability of M&A Brokers and Rulemaking

Warner Norcross & Judd attorneys Stephen Kretschman and Shane Hanson will each participate in a panel discussion at the M&A Source's Spring Conference in San Antonio, Texas. Both ...

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