Bryan W.
About Bryan W.
Bryan W. serves as the Principal Counsel in the Department of Enforcement at the Financial Industry Regulatory Authority (FINRA) since 2010, where he focuses on investigating and prosecuting violations of securities laws in New York, NY.
Work at FINRA
Bryan W. has served as Principal Counsel in the Department of Enforcement at the Financial Industry Regulatory Authority (FINRA) since 2010. In this role, he is based in New York, NY, and has accumulated over 14 years of experience. His responsibilities include investigating and prosecuting violations of federal securities laws and regulations, as well as the rules of major exchanges such as NASDAQ and NYSE. He also negotiates settlements and prepares cases for litigation.
Education and Expertise
As Principal Counsel, Bryan W. plays a key role in the selection, management, and instruction of law school interns and externs. This involvement indicates a commitment to legal education and mentorship within the field of securities law. His expertise encompasses legal research, document review, and drafting internal documents for senior management review, showcasing a comprehensive understanding of legal processes.
Background
Bryan W. has dedicated his career to the enforcement of securities laws through his position at FINRA. His work involves a detailed understanding of both federal regulations and the operational rules of major financial exchanges. This background equips him with the necessary skills to navigate complex legal challenges in the financial sector.
Achievements
In his role at FINRA, Bryan W. has contributed to significant legal proceedings by investigating violations and preparing cases for litigation. His ability to negotiate settlements reflects his proficiency in legal strategy and conflict resolution within the financial regulatory landscape.