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Wiand Guerra King P.L.

Profile

Wiand Guerra King was formed in 2009 when we moved from one of the largest and most highly-regarded firms in Florida. Before that, some of our lawyers hailed from senior levels of the SEC’s Division of Enforcement, from one of the nation’s top financial services firm, and from leading national and international law firms. Our group has practiced together in one form or another since 19...

Practice Areas

Commercial litigation
Financial services litigation
Securities litigation
Securities arbitration
Securities regulatory
Broker/dealer and investment advisor regulation
Broker/dealer and investment advisor compliance
Court-appointed receiverships
SEC investigations and enforcement actions
FINRA and other self-regulatory investigations and enforcement actions
State securities investigations and enforcement actions
Federal Trade Commission actions
White collar criminal
Internal investigations
Disciplinary matters
State and federal administrative proceedings
Class actions
Business torts
Officer and director liability
Antitrust
Shareholder and partnership disputes
Application for state and federal registered investment advisor registration
Form ADV Parts 1 and 2 initial filing and amendments
Termination of investment advisor registration
ADV-W partial and full withdrawal filing
Customized compliance procedure manuals and Code of Ethics
Annual compliance procedure review (SEC Rule 206(4)-7)
FINRA initial and continuing membership applications
Form BD initial filing and amendments
FINRA membership withdrawal and firm wind down
Form BD-W partial and full withdrawal filing
Customized written supervisory procedure and compliance manuals
Annual compliance and supervisory processes review (NASD Rule 3012)
Form U-4 filing, amendments and disclosure reporting
Form U-5 filing
Registration delays 


Best Law Firms Rankings

Location Tier Practice
Tampa 1 Commercial Litigation
2 Litigation - Banking & Finance
Litigation - Securities

Listed Lawyers in Best Lawyers®

Bet-the-Company Litigation

Burton W. WiandTampa, FL

Commercial Litigation

Katherine C. DonlonTampa, FL

George L. GuerraTampa, FL

Peter B. KingTampa, FL

Michael S. LamontTampa, FL

Offices

 
Tampa, FL
5505 West Gray Street
33609
Phone: 813-347-5100
 
 
 
 

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