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Ten Minute Interview: SEC Enforcement for Family Offices

May 7, 2024

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Brian Lucareli, director of �鶹ֱ�� Private Client Services (PCS) and co-chair of �鶹ֱ��’s Family Offices group, sits down with Bryan House, partner and member of our Securities Enforcement & Litigation group, for a 10-minute interview to discuss SEC enforcement for family offices. During the interview, Bryan explained who is subject to the Investment Advisers Act, and provided a real-life example of the SEC getting involved with a family office.

Authors

Brian L. Lucareli
Bryan B. House

�鶹ֱ��

Family Offices

Practice Areas

Estate Planning
Securities Enforcement & Litigation

Topics

Family Office’s Ten Minute Interviews

Author(s)

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Brian L. Lucareli

[email protected]

Milwaukee 414.297.4950

A man in a dark pinstripe suit, white shirt, and red tie stands in a brightly lit, modern corporate law office, reflecting the professional atmosphere of top Chicago lawyers.

Bryan B. House

[email protected]

Milwaukee 414.297.5554

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November 6, 2026 Upcoming Events

Medicare & Medicaid Administrative Enforcement: Emerging Trends

�鶹ֱ�� partner Judy Waltz, chair of the Health Care Practice Group, is speaking in the California Society for Healthcare Attorneys’ upcoming Fall Seminar in the session “Medicare & Medicaid Administrative Enforcement: Emerging Trends.”

October 27, 2026 Upcoming Events

Federal Administrative Sanctions: Suspensions, Revocations, Exclusions, and Civil Monetary Penalties

�鶹ֱ�� partner Judy Waltz, chair of the firm’s Health Care Practice Group, is speaking at the upcoming HCCA Healthcare Enforcement Compliance Conference in the session “Federal Administrative Sanctions: Suspensions, Revocations, Exclusions, and Civil Monetary Penalties.”

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