Securities Attorney

Russell C. Weigel, III, draws on his ten years’ experience as an enforcement attorney at the U.S. Securities and Exchange Commission to serve the unique concerns of the securities industry and public companies in both transactional and litigated matters.

On a nationwide basis, Mr. Weigel practices the following areas of corporate and securities law and litigation:

• Defense of securities arbitration and securities litigation claims
• Defense of investment professionals, securities broker dealers and investment advisers in SEC, FINRA, NYSE and state regulatory examinations, investigations and litigation and in CRD expungement matters
• Regulatory compliance counseling and SRO registrations matters
• Securities registration and reporting and general corporate law.

During his tenure as a securities attorney working for the SEC, Mr. Weigel supervised and conducted over 80 investigations and litigated over 35 civil injunctive and administrative proceedings nationwide, most involving allegations of fraud, sales of unregistered non-exempt securities, or regulatory compliance violations by stock promoters, public companies, broker dealers, investment advisers, and stock transfer agents, among others. Mr. Weigel also supervised investigations and litigated cases involving securities issuers’ Ponzi schemes and false financial reporting. Within that broader context of SEC investigations and litigation, Mr. Weigel has particular SEC experience in the following areas:

• Investment adviser performance advertising and regulatory compliance
• Bank broker dealer regulatory compliance
• Investment company regulatory compliance
• Securities registration and reporting, including financial reporting
• Civil contempt proceedings, and the collection of court-ordered disgorgement.

Mr. Weigel is an AV-rated* securities attorney, licensed in Florida, New York, and Washington D.C. Companies that are public or private, looking for a securities attorney, can feel confident that their legal matters are being handled by a securities attorney that has substantial field experience and first hand knowledge of the inner workings of the U.S. Securities and Exchange Commission.