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Ms. Wiener advises financial institutions, investment managers and hedge funds on a broad range of corporate, regulatory, compliance, securities, registration, inspection, organizational, activist and structural matters.

She focuses on the Investment Advisers Act of 1940 and represents clients in connection with regulatory examinations and enforcement proceedings. Ms. Wiener has registered broker-dealers with NASD (FINRA) and prepared offering documents for hedge funds and registered investment funds.  She appears in court and before the SEC, NYSE and NASD (FINRA) in connection with client investigations, and also handles arbitration and mediations defending broker dealers. Early in her career, Ms. Wiener spent four years as trial counsel for the U.S. Securities and Exchange Commission in its Division of Market Regulation, where she investigated and prosecuted enforcement actions under the federal securities laws. In addition, Ms. Wiener has experience representing both plaintiffs and defendants in employment related matters.

AFFILIATIONS

• The Association of the Bar of the City of New York
• The American Bar Association (Business Law Section)
• The Association of SEC Alumni
• Fellows of the American Bar Foundation
• 100 Women in Finance

PRIOR AFFILIATIONS

• Katten Muchin Rosenman LLP, Partner
• Goodwin Procter LLP, Of Counsel

PRESENTATIONS

• Investor Protection of Dodd Frank Act and Enhanced Professionalism, Panelist, New York County Lawyers Association (March 25, 2014)
• How to Effectively Work with the SEC During the Inspection and Examination Process, 6th National Advanced Forum on Regulation and Enforcement of Hedge Funds & Investor Advisers, Presented by the American Conference Institute, New York, New York (June 24, 2010)
• Infected Hedge Funds: Rights and Remedies, Panelist, Presented by Katten Muchin Rosenman LLP, New York, New York (March 16, 2010)
• SEC Inspections and Examinations in the Post-Madoff Era, Hedge Fund Enforcement & Regulatory Developments, Speaker, Presented by the Practicing Law Institute (November 2009)
• Across the Table from the SEC: Defending and Handling SEC Investigations, Presented by Katten Muchin Rosenman LLP, New York, New York (April 2, 2009)
• When the SEC Calls, Presented by Katten Muchin Rosenman LLP (January 14, 2009)
• SEC May Contact Clients for Confirmation of Assets and Transactions, Advisories (April 6, 2009)
• SEC Inspections Workshop, Presented by WEST Legalworks (July 17, 2007)

PODCASTS

Featured as a guest attorney on the WB Perspectives podcast series. View podcasts

AWARDS/HONORS

• Martindale-Hubbell AV Preeminent Rated