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Browse All > CLE Seminars

Wisconsin's Uniform Securities Law - Chapter 551 2025

Product ID: CA3774W
Presented By: State Bar of Wisconsin PINNACLE

Security guard

Imagine an investor trusting their financial advisor, only to discover their life savings have vanished due to fraudulent securities transactions. Securities fraud can have devastating consequences, especially for vulnerable investors. Wisconsin’s Uniform Securities Law (Chapter 551) is designed to prevent misconduct, enforce compliance, and hold violators accountable. Understanding this law is crucial for lawyers, financial advisors, and investors alike.

At Wisconsin’s Uniform Securities Law – Chapter 551, you’ll receive a comprehensive overview of Wisconsin’s securities regulations, focusing on:

  • What qualifies as a security, and what activities are prohibited
  • Key violations under the law, including unauthorized transactions, excessive trading, and elder financial abuse
  • Civil and criminal penalties for securities violations, including regulatory fines and license revocation
  • The Wisconsin Department of Financial Institution’s (DFI) role and enforcement powers
  • The enforcement process, from discovery to hearings and appeals
  • Recent case law and enforcement trends
Read More ↓

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Pricing

Member $99.00

Non-Member $149.00

Credits

1 CLE

Date and Time

Thursday, April 10, 202512:00 PM - 12:50 PM CT

Add to Calendar 4/10/2025 12:00:00 PM 4/10/2025 12:50:00 PM America/Chicago Wisconsin's Uniform Securities Law - Chapter 551 2025

Security guard

Imagine an investor trusting their financial advisor, only to discover their life savings have vanished due to fraudulent securities transactions. Securities fraud can have devastating consequences, especially for vulnerable investors. Wisconsin’s Uniform Securities Law (Chapter 551) is designed to prevent misconduct, enforce compliance, and hold violators accountable. Understanding this law is crucial for lawyers, financial advisors, and investors alike.

At Wisconsin’s Uniform Securities Law – Chapter 551, you’ll receive a comprehensive overview of Wisconsin’s securities regulations, focusing on:

  • What qualifies as a security, and what activities are prohibited
  • Key violations under the law, including unauthorized transactions, excessive trading, and elder financial abuse
  • Civil and criminal penalties for securities violations, including regulatory fines and license revocation
  • The Wisconsin Department of Financial Institution’s (DFI) role and enforcement powers
  • The enforcement process, from discovery to hearings and appeals
  • Recent case law and enforcement trends
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Security guard

Imagine an investor trusting their financial advisor, only to discover their life savings have vanished due to fraudulent securities transactions. Securities fraud can have devastating consequences, especially for vulnerable investors. Wisconsin’s Uniform Securities Law (Chapter 551) is designed to prevent misconduct, enforce compliance, and hold violators accountable. Understanding this law is crucial for lawyers, financial advisors, and investors alike.

At Wisconsin’s Uniform Securities Law – Chapter 551, you’ll receive a comprehensive overview of Wisconsin’s securities regulations, focusing on:

  • What qualifies as a security, and what activities are prohibited
  • Key violations under the law, including unauthorized transactions, excessive trading, and elder financial abuse
  • Civil and criminal penalties for securities violations, including regulatory fines and license revocation
  • The Wisconsin Department of Financial Institution’s (DFI) role and enforcement powers
  • The enforcement process, from discovery to hearings and appeals
  • Recent case law and enforcement trends
Read More ↓

Benjamin R. Prinsen is a shareholder with the Milwaukee boutique litigation firm of Kravit, Hovel & Krawczyk, S.C., and serves on the firm’s Board. He concentrates his practice on complex business and commercial litigation, including shareholder, member, and partnership disputes; employment law and restrictive covenant litigation; securities litigation; debtor-creditor and lender liability; and franchise and dealership matters. Ben has extensive experience in arbitration and all aspects of litigation in both federal and Wisconsin state courts. Ben has been selected as a “Rising Star” or “Super Lawyer” by Wisconsin Super Lawyers® since 2013 and has been recognized by The Best Lawyers in America® in Commercial Litigation since 2021.

  • Understand the scope of Chapter 551 and the claims available under the law
  • Gain clarity on civil and criminal enforcement mechanisms
  • Know what to expect in an administrative proceeding
  • Get a step-by-step overview of the enforcement process, from discovery to appeals
  • Identify common pitfalls in securities compliance and learn strategies to avoid them
  • Review recent challenges and decisions that may impact the administrative process 
  • Business lawyers
  • Administrative lawyers
  • Government lawyers

Benjamin R. Prinsen is a shareholder with the Milwaukee boutique litigation firm of Kravit, Hovel & Krawczyk, S.C., and serves on the firm’s Board. He concentrates his practice on complex business and commercial litigation, including shareholder, member, and partnership disputes; employment law and restrictive covenant litigation; securities litigation; debtor-creditor and lender liability; and franchise and dealership matters. Ben has extensive experience in arbitration and all aspects of litigation in both federal and Wisconsin state courts. Ben has been selected as a “Rising Star” or “Super Lawyer” by Wisconsin Super Lawyers® since 2013 and has been recognized by The Best Lawyers in America® in Commercial Litigation since 2021.

  • Understand the scope of Chapter 551 and the claims available under the law
  • Gain clarity on civil and criminal enforcement mechanisms
  • Know what to expect in an administrative proceeding
  • Get a step-by-step overview of the enforcement process, from discovery to appeals
  • Identify common pitfalls in securities compliance and learn strategies to avoid them
  • Review recent challenges and decisions that may impact the administrative process 
  • Business lawyers
  • Administrative lawyers
  • Government lawyers
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