40 Years Of FCPA – The Strange Case That Started It All

Leading up to the 40th anniversary of the Foreign Corrupt Practices Act on Dec. 19, this Expert Analysis series features reflections from attorneys who have played a role in the evolution of FCPA enforcement, defense and compliance […]

Peter B. King Named As One Of Florida’s Legal Elite For 2017

Wiand Guerra King P.A. is pleased to announce that Peter B. King has been recognized by his peers as one of Florida Trend Magazine’s Legal Elite for 2017 […]

WGK Compliance And Regulatory Consulting Group Presented The FSI Webinar: Preparing For The Implementation Of The Revised Form ADV

Dionne Fajardo and Trisha Cram presented a webinar to Financial Services Institute members on August 31st titled “Don’t Get Caught Flat-Footed; Preparing for the Implementation of the Revised Form ADV.”[…]

ALERT – Registration Relief for Florida Locations Operating From Alternative Sites Due to Hurricane Irma

The Florida Office of Financial Regulation (“OFR”) provided relief to broker-dealers and investment advisers with locations that are registered or notice filed within the state that are displaced because of damage or power outages due to Hurricane Irma[…]

Findings and Best Practices from the SEC on Creating an Effective Cybersecurity Program

It is no secret that cybersecurity has been a hot topic with regulators. Everyone, including the Securities and Exchange Commission (SEC), FINRA, and state regulators, has been taking a look into cybersecurity and how firms are protecting client data[…]

WGK Lawyers Recognized By “Best Lawyers In America”

Best Lawyers released its list of lawyers recognized in the 2018 edition of Best Lawyers in America. Wiand Guerra King is pleased to announce that seven of its partners were recognized[…]

Dionne C. Fajardo Named Shareholder at Wiand Guerra King

The law firm of Wiand Guerra King is pleased to announce that Dionne C. Fajardo has been named a shareholder of the Firm[…]

Trisha L. Cram Joins Wiand Guerra King P.A.’s Compliance and Regulatory Consulting Group

Trisha L. Cram has joined the law firm of Wiand Guerra King as a Senior Regulatory Consultant in the Compliance and Regulatory Consulting Group[…]

Wiand Guerra King Lawyers Recognized By 2017 Super Lawyers

Wiand Guerra King is pleased to announce that twelve of its lawyers have been selected for inclusion in the 2017 edition of Super Lawyers[…]

Stepping Outside Your Comfort Zone

As a lawyer whose practice mainly focuses on securities and financial services litigation, my workday typically involves some form of a financial or securities-related dispute requiring certain perspective and knowledge […]