WSMB's practice includes the representation of broker-dealers, investment advisers, commodity pool operators, and commodity trading advisors in connection with their formation and operations. We also represent regulated and unregulated clients in enforcement and regulatory investigations and litigation before the Securities and Exchange Commission and various self-regulatory organizations. We handle these issues with the invaluable perspective that comes from having seen them from the SEC's perspective. One of our attorneys spent almost a decade handling enforcement matters for the SEC in a succession of positions with increasing responsibilities that culminated in his service as Associate Regional Administrator of the SEC's New York Regional Office. Another of our partners has managed the 1934 Act compliance activities of several small, publicly traded companies.