Wallace Kunzman has been actively involved in the securities area as a lawyer for over 35 years. He has drafted offering documents and performed all aspects of securities compliance in over 250 offerings over this period, including both registered offerings and Regulation D offerings. These offerings have been primarily in alternative investments. Also, he has represented numerous broker-dealers in various aspects of their business, such as underwriting activities and FINRA and state regulatory and compliance matters. Mr. Kunzman was an adjunct professor at Oklahoma City University School of Law in 1982 and has lectured in the securities and corporate areas for the University of Tulsa and Oklahoma City University Continuing Legal Education Divisions, the Investment Program Association, REISA, the Oklahoma Society of Certified Public Accountants, the NASAA Corporate Finance Training Seminar in 2007, 2009, 2011, 2013, 2014 and 2015, the FINRA Annual Conference in 2012, and the FINRA Advertising Regulation Conference in 2014.
Mr. Kunzman assisted in researching for and editing 4B Robert J. Haft & Peter M. Fass, Tax-Advantaged Securities, Broker-Dealer Compliance for Real Estate Securities Offerings §§ 15:1 to 15:118 (2013). Mr. Kunzman was a member of the FINRA Series 22/39 Item Writing and Review Committee from 2008 to 2017. He serves as a FINRA arbitrator and has served on committees to the Oklahoma Securities Department, been an expert witness for the Securities Department of the State of Kansas and FINRA Department of Enforcement in securities cases and worked with the states of Texas, Louisiana, and New Mexico concerning the enactment of securities exemptions for the oil and gas industry. Mr. Kunzman was a member of the Board of Directors of the Investment Program Association from 2008 to 2017 and chairman of the Legal and Regulatory Affairs Committee from 2016 to 2017.
