Wendy B. Hart

Associate

Wendy B. Hart brings knowledge and experience acquired through 11 years of professional experience in the financial planning industry to her legal practice.

Ms. Hart's cases primarily involve defending broker-dealers, investment advisers, and registered representatives in both litigated and arbitrated matters. Often, the cases involve the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), the National Association of Securities Dealers (NASD), and state regulatory entities. Occasionally, the cases involve customer complaints.

Other cases arise from securities-related representation but do not involve securities, per se:

• Breach of contract
• Defamation
• Wrongful termination
• Insurance matters
• Employment discrimination
• Tortious interference with business relationships
• Enforcement of non-compete and non-solicitation agreements
• Employee Retirement Income Security Act (ERISA) matters
• Various property and lease disputes
  
  

Publications

"Designing an Effective Retail Surveillance Program," The Review of Securities & Commodities Regulation (August 13, 2008)

"Warnings to the Unwary:  Multi-Jurisdictional Federal Enforcement of Manipulation and Deception in the Energy Markets After the Energy Policy Act of 2005," Energy Law Journal (2006)

Previous Experience

Before attending law school, Ms. Hart worked in a variety of positions within the investment industry, including CERTIFIED FINANCIAL PLANNER™ professional, registered representative, securities trader, compliance manager and investment advisor.

Education

Professional Certifications

CERTIFIED FINANCIAL PLANNER™ professional

Professional Memberships

Georgia Association for Women Lawyers

Atlanta Bar Association

American Bar Association

Civic and Charitable Memberships

Atlanta Humane Society and Society for the Prevention of Cruelty to Animals
Board Member