Wisconsin SEC Defense Lawyers

Wisconsin SEC Defense Lawyers

If your looking for a good SEC defense lawyer in Wisconsin, you’ve come to the right place. This article will give you the lowdown on the top securities lawyers in the state so you can make an informed decision if your ever in need of representation. I’ll go over the key things to look for, provide some background on SEC cases in Wisconsin, and give my top picks for attorneys along with details on their experience.

What to Look for in an SEC Defense Attorney

When your searching for a securities lawyer, there’s a few key factors you’ll want them to have:

• Experience with SEC investigations and enforcement – You’ll want someone whose represented multiple clients before the SEC, not just read about it in books.
• Understanding of complex securities laws – The securities laws can be dense so you need someone whose well-versed in things like the Securities Act, Exchange Act, Investment Advisors Act, etc.
• Litigation skills – Since many SEC cases end up in the courtroom, someone with trial experience is a plus.
• Negotiation skills – Often the SEC looks to settle so someone who can negotiate a favorable deal is key.
• Attention to detail – The SEC looks at things with a fine-tooth comb, so you need a lawyer whose just as meticulous.
• Ability to respond quickly – SEC inquiries move fast, so someone who can act quickly is important.

On top of this, you’ll want to look for someone who makes you feel comfortable and who you can trust. Don’t be afraid to ask candidates about their experience, strategy, fees and other important stuff before making a decision.

SEC Enforcement in Wisconsin

Although not one of the top states for SEC cases, Wisconsin still sees it’s fair share of enforcement activity. Over the past 5 years, the SEC has brought cases against everything from real estate developers committing fraud to Ponzi schemes targeting the elderly.

Some of the more high-profile cases include:

• SEC v. Kovzan – In 2017, the SEC charged Kovzan, a real estate developer, with misappropriating $2.8 million of investor funds for personal use. He ended up settling and agreeing to a permanent officer-director bar and to pay disgorgement and penalties.
• SEC v. Czarnik – In 2020, the SEC charged Milwaukee-based investment advisor Ralph Czarnik with operating a long-running Ponzi scheme that raised more than $7 million from clients. Many of his victims were elderly. Czarnik was ordered to pay $7.7 million in disgorgement and penalties.
• SEC v. Van Dellen – Just this March, the SEC charged Appleton businessman Ron Van Dellen with securities fraud related to municipal bonds issued through his company. Van Dellen allegedly misled investors on how funds would be used. The case is still pending.

As you can see, the SEC is active across the state and against all types of securities violations – which is why having an experienced attorney is so important if your facing an investigation.

Top Securities Lawyers in Wisconsin

If your looking for seasoned SEC defense attorneys in Wisconsin, here’s some of the top lawyers to consider:

1. Marc Marotta, Gimbel Reilly Guerin & Brown

Based out of Milwaukee, Marc Marotta is one of the most respected securities litigators in the state. He’s represented major companies like Koss Corporation and Twin Disc in SEC inquiries and enforcement actions. Marotta has over 20 years experience in securities litigation and regulatory defense. He’s known for his meticulous preparation, ability to decode complex securities rules, and skill at getting favorable results for clients. Marotta has an excellent track record going up against the SEC.

2. Eric Kosel, Michael Best & Friedrich

Eric Kosel is a partner at Michael Best and co-leader of their Securities & Capital Markets team. He represents public and private companies, investment banks, and broker-dealers in regulatory issues and SEC enforcement matters. Kosel is an experienced trial lawyer who has litigated cases in state and federal courts around the country. He’s also regularly counsels clients on compliance with securities laws and regulations. Kosel is well-versed in the latest SEC rules and priorities.

3. Andrew Levine, DeWitt LLP

Andrew Levine chairs the Securities Litigation & SEC Defense practice at DeWitt. He represents clients in SEC enforcement actions, compliance matters, and securities arbitration. Levine has extensive trial experience, including handling litigation for the SEC and DOJ early in his career. He now uses that prosecutorial background to defend clients from government enforcement. Levine has particular experience with insider trading cases. He’s also adjunct professor of law at UW-Madison.

4. Dean Rocco, Wilson Elser

Dean Rocco is a key partner in the Securities Litigation & Professional Liability practice at Wilson Elser. He has over 25 years experience representing financial services firms and public companies in regulatory examinations, investigations, and enforcement actions. Rocco regularly handles matters before the SEC, FINRA, CFTC and other agencies. His clients praise his ability to resolve issues quickly and cost-effectively.

5. Patricia Jatczak, Reinhart Boerner Van Deuren

Patricia Jatczak co-chairs the Securities Litigation & Enforcement team at Reinhart Boerner. She represents public companies, broker-dealers, investment advisors, auditors, and directors & officers in securities-related regulatory proceedings and government investigations. Jatczak is a Certified Public Accountant (CPA) who leverages her financial background in handling complex securities matters. She’s known for her expertise on accounting, disclosure and financial reporting issues.

This is just a sample of the top securities attorneys in Wisconsin. There are many other talented lawyers who regularly handle SEC defense work across the state. I recommend interviewing several candidates before selecting your counsel. Prior experience with the SEC is a must.

And remember – if you get a subpoena from the SEC, don’t delay. Contact an attorney immediately so they can protect your rights. The earlier you engage counsel the better.

Hope this overview gives you a good starting point for finding an SEC lawyer in Wisconsin. Let me know if you have any other questions!

Key Resources

• Wisconsin Rules of Professional Conduct for Attorneys – Outlines ethical rules and standards for lawyers in Wisconsin.
• The Yale Law Journal Style Sheet – Good resource for proper citation format, which is important in legal writing.
• Recent SEC Enforcement News – Example of reporting on SEC cases and appointments.
• Introduction to Basic Legal Citation – Overview of citing legal authorities from Cornell Law School.
• The Toll of Trauma – Discusses effects of compassion fatigue on public defenders relevant to SEC lawyers.
• Michigan Appellate Opinion Manual – Good guide for writing appellate briefs.