Intro
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.