Kevin Wheeler is an experienced corporate attorney with an extensive background in compliance, privacy and data protection, intellectual property and litigation matters.
For the past seven years, Mr. Wheeler has been in-house General Counsel advising C-suite executives in three different broker-dealer firms on all legal and regulatory issues. In his capacity as General Counsel, Mr. Wheeler became a leader in helping executives and their support teams meet the challenges in the complexities of the new regulations coming out of the SEC, FINRA, CFPB and other federal and state agencies. He navigated through the regulations in the areas of money movement, payment processing, AML/fraud, cryptocurrency, and trade reporting. Additionally, he managed their enforcement and litigation matters.
Mr. Wheeler serves as a leader and indispensable resource for broker dealers, RIAs and financial institutions. Specifically, his expertise covers broker-dealer regulatory investigations, exams, and enforcement matters, investment advisor regulation and compliance, data protection and privacy, payment processing, and securities arbitration and litigation. He also provides advice on employment matters and represents parties in complex litigation matters.
Mr. Wheeler holds a Series 7 securities license and counsels financial services companies with sales practice issues, FINRA Rule 4530 matters,U4/U5 disclosures, developing effective written supervisory procedures, and trade reporting (OATS/CAT) matters.