Denise Wengert Email & Phone Number

• Examine and summarize filings made with the SEC and private offering documents for compliance with the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, the Sarbanes- Oxley Act of 2002, the Dodd-Frank Wall Street Reform and Consumer Protection Act and FINRA Rules.• Analyze securities offerings to determine whether a reasonable basis existed for broker-dealers and registered investment advisors to recommend the offering to investors.• Draft due diligence reports on the management structure, operations and financial condition of real estate investment trusts, business development companies, closed-end management investment companies, and private equity funds.• Review and analyze operational agreements, internal control policies and procedures, investment committee memoranda, third-party asset valuations and underwriting documentation for potential issues.

Columbia, Maryland

• Drafted discovery demands, responses, affirmations, and correspondence for lead paint litigation cases. • Conducted depositions and attended court conferences. • Handled a caseload of approximately 90 cases.

• Conducted research into crowdfunding and the number of small businesses in D.C. that couldbenefit from a local regulation.• Drafted a comment to the SEC’s proposal for “Regulation A+” dealing with the preemption of statesecurities law.• Performed research into Wells Fargo’s policies on Anti-Money Laundering and the Elder ClientInitiatives unit in relation to elder abuse.• Drafted a white paper on financial exploitation of the elderly and recommendations for financialinstitutions, family members, government agencies, and Congress.

Silver Spring, Md

Doctor Of Law (J.D.)

Bachelor Of Arts (B.A.), Legal Studies, Sociology

Activities and Societies: Pre-Law Society