Wisconsin Securities Litigation and Arbitration Lawyers

Wisconsin investors have rights and protections under numerous laws and regulations. 

The Wisconsin Uniform Securities Act  which is the state law that regulates securities in Wisconsin. The law  applies to all securities broker-dealers and investment advisers who offer or sell securities in Wisconsin.

The law is designed to protect investors from fraud and to ensure that investors have access to accurate information about the securities they are considering purchasing.

Here are some of the key provisions:

• Registration of broker-dealers, agents, and investment advisers: All broker-dealers, agents, and investment advisers who offer or sell securities in Wisconsin must be registered with the Securities Division.

• Anti-fraud provisions: The WUSA prohibits fraud and other unfair practices in the sale of securities.

• Right to sue for violations of the law.

In addition to the Wisconsin securities laws, there are a number of other federal laws and regulations that may apply to the sale of securities in Wisconsin. These laws and regulations are designed to protect investors and to ensure that the securities market is fair and efficient. These include:

• The Securities Act of 1933

• The Securities Exchange Act of 1934

• The Trust Indenture Act of 1939

• Investment Company Act of 1940

• Investment Advisor Act of 1940

• Sarbanes-Oxley Act of 2002

• Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010

• Jumpstart our Business Startups Act of 2012

• FINRA Regulations 

• Securities and Exchange Commission (SEC) Regulations

To discuss your rights under Wisconsin or federal securities law, schedule a consultation with our law firm.