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.

DEFENSE TEAM SPOTLIGHT

Todd Spodek

Lead Attorney & Founder

Featured on Netflix's "Inventing Anna," Todd Spodek brings decades of high-stakes criminal defense experience. His aggressive approach has secured dismissals and acquittals in cases others deemed unwinnable.

NY Bar Admitted Multi-State Licensed Federal Courts

Meet the Full Team

Legal Scenario: What Would You Do?

Scenario

You receive a letter from the SEC stating you are under investigation for securities violations based on trades you made months ago.

Should you respond to the SEC on your own?

Attorney's Answer

Never respond to SEC inquiries without experienced legal counsel. Early statements can be used against you in both civil and criminal proceedings. An attorney can negotiate with investigators and protect your Fifth Amendment rights.

This is general information only. Contact us for advice specific to your situation.

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.