Chicago-based partner Alan Wolper has been named co-chair of Ulmer & Berne’s Financial Services & Securities Litigation Practice Group. Mr. Wolper joins Cleveland-based partner Frances Floriano Goins in leading the group.
Mr. Wolper focuses his practice exclusively on the representation of brokers, broker-dealers and investment advisors. He defends regulatory investigations and enforcement actions brought by the Financial Industry Regulatory Authority (FINRA), the United States Securities & Exchange Commission (SEC), and state securities agencies, as well as arbitrations brought by customers. He takes a proactive approach to help clients avoid regulatory scrutiny and customer complaints. Previously, as Director of the Atlanta District Office of the National Association of Securities Dealers (NASD), he oversaw nearly 600 member firms and thousands of branch offices. Prior to that, Alan worked for NASD’s Department of Enforcement, where he had the primary responsibility for prosecuting hundreds of formal disciplinary actions.
Ulmer & Berne’s Financial Services and Securities Litigation Practice Group represents a wide range of clients throughout the country, including large corporations, foreign and domestic banks, and other sophisticated financial services firms. Attorneys in this group draw on extensive litigation experience and backgrounds in state and federal agencies to counsel clients on a variety of complex issues, such as securities fraud, misrepresentation, unauthorized trading or alleged violations of SEC and related regulations, whether lodged as individual suits or as class actions. Committed to an integrated, team-based approach to better serve its clients throughout the country, the firm actively leverages the individual strengths and core expertise of the highly regarded attorneys in its four offices throughout the Midwest.
According to Ulmer & Berne’s managing partner, Kip Reader, “Alan is highly regarded by his colleagues, his peers, and his clients, especially for his work in the broker-dealer space. His expertise, coupled with his presence in the Chicago market, makes him a natural fit for this role.” Michael Ungar, chair of the firm’s Litigation Department, added, “Alan is the perfect choice for this position. He is a true team player, an excellent role model, and an exceptionally talented lawyer. Alan and Fran will do a terrific job together.”
Mr. Wolper is the editor of BDLawCorner.com, a blog intended for broker-dealers and the individuals associated with such firms, including legal and compliance professionals and registered representatives, as well as outside legal counsel and securities consultants who provide service to broker-dealers. Mr. Wolper earned his B.A., summa cum laude, from Rutgers College and his J.D., cum laude, from the University of North Carolina at Chapel Hill.