Partner Michael Wise joined Lawrence Kamin in 1989. His practice centers on the financial services industry, encompassing compliance, transaction and litigation matters.
Michael counsels brokers, advisers, derivatives market participants and funds. He regularly handles compliance issues, complex transactions and enforcement inquiries. He has been active in helping clients respond to new requirements mandated by the Dodd Frank Act. Michael's litigation activities include arbitrations before securities and futures exchanges, and appearing on behalf of investment professionals in disciplinary proceedings. Michael also advises officers and directors in corporate and employment related matters, including internal investigations, and regularly represents professionals, such as accountants and
In addition to serving as a seminar panelist for various industry association events, Michael has co-authored articles on financial services issues with Paul Uhlenhop, including "Managing Regulatory Investigations," published in The Review of Securities and Commodities Regulation and "Regulatory Examinations For Cause."
When not spending time with his family, Michael can be found bike-riding throughout the Chicagoland area.
Articles & Presentations by this Attorney
5/2010, Clearing Arrangement for Introducing Broker-Dealers, Chapter 17A, Broker-Dealer Regulation.
This material has been published as part of "Broker-Dealer Regulation" by Practising Law Institute, and is available at 1-312-428-6378; www.pli.edu © The Practising Law Institute. Reproduced with permission. All rights reserved. This publication is available at: http://www.pli.edu/product/book_detail.asp?id=17925&t=TBR0_8AEM1
8/1/2009, Registration and Compliance Issues Facing Foreign Broker Dealers, NSCP Currents, July/August 2009
1/1/2007, Thoughtful Analysis - Key to Successful Compliance a Primer for New Compliance Officers, NSCP Currents, Jan/Feb 2007
9/1/2001, Managing Regulatory Investigations and Examinations for Cause, National Regulatory Service Fall Compliance Conference
6/5/2001, Regulatory Examinations for Cause, National Society of Compliance Professionals Midwest Regional Meeting
1/1/1986, Self Regulatory Organizations and Tender Offers, Chapter in Mergers and Acquisitions Hand Book, McGraw-Hill
Experience
Lawrence, Kamin, Saunders & Uhlenhop LLC
- Partner: 1989-Present
Associate Counsel, Chicago Stock Exchange
Special Assistant United States Attorney
Branch Chief, Securities and Exchange Commission,
- Office of Enforcement
Professional Memberships & Affiliations
Chicago Bar Association
National Society of Compliance
Adjunct Professor Chicago Kent College of Law
