JWeller Law

Licensed in 
California & Arizona
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JWeller Law leverages its in-house, real world experience managing the securities activities
and financial books and records of investment banking firms to ensure your securities
matters are in compliance with both SEC and FINRA regulations



 Jason Weller, Attorney at Law, has served as General Counsel of
investment banking firms as well as a FINRA licensed Investment Banker and Financial Operations Principal.   This robust experience means JWeller Law can effectively guide you through your securities activities with the goal of surviving a FINRA or SEC examinationJWeller Law has successfully navigated several audits of the books and records of investment banking firms without any financial penalties incurred.   Let JWeller Law ensure your records are prepared to survive of the scrutiny expected from auditors in this volatile climate.


JWeller Law has experienced securities and FINRA lawyers who counsel and represent
broker-dealers, registered representatives and financial institutions

JWeller Law represents FINRA registered representatives and broker-dealers in defense of SEC and FINRA examinations, investigations and enforcement matters; in various compliance and risk management projects; and with internal investigations.  Compliance and risk management, on one hand, and regulatory/enforcement defense, on the other, are inextricably linked, now more than ever.  A well-designed and effective internal investigation often provides to be a key tool in improving client results especially today when there is increasing insistence of securities regulators on fundamental and sustainable integrity of the systems and processes of regulated entities.

Companies can rely on JWeller Law to guide them through and carryout a private placement offering without the service of a investment banking firm

Whether a start-up or thriving private entity, companies can raise the necessary capital to expand operations without engaging a broker-dealer.  Instead, utilize the services of JWeller Law to prepare your private placement documents and assist your management team with its regulatory responsibilities without giving away "a cut of the action" on the capital you raise from your contacts.  JWeller Law will ensure all your paperwork is prepared and handled appropriately, investors are fully vented and informed on the offering, you do not tap into the capital you raise prematurely, and your use of funds is in accordance with disclosures made to investors.

JWeller Law can help you survive the regulatory burdens of the
securities industry in a cost effective matter. 

Jason Weller, Attorney at Law
619-980-5936