Overview

Brian is a senior managing associate in the firm’s Business Litigation group, the Securities & Shareholder Litigation group and the Government Enforcement, Internal Investigations & White Collar Defense group. His practice focuses on representing businesses and individuals within the financial services sectors, specifically providing counsel to domestic banks, broker-dealers, clearing firms, investment advisors, private funds and public companies.

Brian advises clients on securities law compliance matters, working closely with clients to build and enhance their compliance programs to ensure efficient and effective compliance with federal and state securities laws and anti-money laundering regulations. His area of strength includes investigations and litigation, arbitration and mediation. He has represented broker-dealers and public companies facing FINRA, SEC and DOJ investigations involving alleged violations of the federal securities laws, including insider trading, trade reporting regulations, disclosure obligations, anti-money laundering reporting and securities fraud. He has guided clients through FINRA disciplinary proceedings, SEC administrative proceedings and criminal actions in federal and state courts.

Brian also represents clients involved in civil litigation related to alleged breach of fiduciary duty claims, corporate governance claims and contractual disputes.

While attending law school, Brian served as an extern with the Onondaga County District Attorney’s office and as an intern with the Worcester County District Attorney’s office.

Brian is a member of the New York State Bar Association Committee on Civil Practice and a member of the Securities Traders Association of New York, a regional industry organization focused on securities and broker-dealer issues in the state and across the country. He regularly volunteers his time with a local non-profit working with youth in New York City to develop and cultivate a passion for creative writing.

PublicationsProfessional and Civic

Professional Associations

  • American Bar Association
  • International Law Students Association, volunteer judge for Jessup International Moot Court Competition (2017–2018)
  • New York State Bar Association, Committee on Civil Practice, member
  • 826NYC, volunteer
  • Securities Traders Association of NY, member
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