Brian is an accomplished litigator and trusted advisor who represents businesses and individuals in a wide range of complex commercial disputes and regulatory matters.
Prior to joining the firm, Brian spent three years as the general counsel and chief compliance officer of a registered investment advisor that manages hedge funds with over $2 billion in assets. Before moving in house, Brian litigated for more than fifteen years at two prominent national law firms, where he successfully represented clients, including private fund managers and other financial services firms, in high-stakes litigations and regulatory matters arising under a wide array of laws and regulations, including federal securities laws, the U.S. Bankruptcy Code, and various state contract, fiduciary, and tort law.
With extensive experience as both outside counsel to private fund managers and the in-house senior legal officer of a prominent investment manager, Brian possesses an unparalleled understanding of the legal needs and business objectives of fund managers that makes him uniquely suited to guide fund managers successfully through their most complex business disputes and regulatory matters, including SEC examinations, investigations, and enforcement actions. Brian also works with private fund managers outside of the adversarial context to help prevent minor issues from becoming bigger problems by advising and leading training sessions on a range of regulatory and compliance matters, including the requirements of the Investment Advisors Act of 1940 and the laws prohibiting insider trading and market manipulation.
Brian’s private practice experience includes the following matters:
- Defending restructuring firm in arbitration brought by former partners over payments allegedly owed to them following a change-of-control transaction. After the hearing, during which Brian cross-examined key fact and expert witnesses, the arbitrator dismissed all claims with prejudice.
- Representing international bank holding company in numerous indemnification disputes with unit of prominent investment bank and financial services company arising out of client’s prior settlements of actions relating to the sale of mortgage-backed securities. Brian personally negotiated settlements providing for total recovery approaching $1 billion.
- Defending bank holding company and investment management subsidiary in SEC investigation into statements the subsidiary made regarding the risks posed by investments it recommended to its clients. After the Staff disclosed its intent to assert claims under the antifraud provisions of the securities laws, Brian engaged in a lengthy Wells process involving multiple written submissions and meetings with senior Enforcement Division officials. The SEC ultimately closed the investigation, taking no action against Brian’s clients.
- Defending senior executive of The Weinstein Company in connection with numerous state and federal cases asserting claims against Harvey Weinstein and related individuals and entities seeking redress for his alleged sexual misconduct under various federal and state law theories. Brian secured dismissals of the claims against his client in all such cases.
- Defending Canadian bank in putative federal class action, which asserted claims under the Sherman Act, the Commodity Exchange Act, and RICO arising out of the alleged manipulation of the CDOR benchmark rate. Brian led efforts of all defendants to prepare motions to dismiss for lack of personal jurisdiction (for the foreign defendants) and failure to state a claim (for all defendants), both of which the court ultimately granted.
Before law school, Brian was a reporter for several New York newspapers. He also previously worked as an actor, appearing in various film, television, and theater productions.
The matters discussed above include representations at previous employers.