Brian focuses his practice on banking and financial services and advises banks, broker–dealers, financial tech companies and other investment companies on regulatory, compliance, and corporate matters.
Prior to joining Nelson Mullins, Brian served as a Compliance Enterprise Regulatory Change Management Compliance Officer where he focused on building regulatory intake programs, performing regulatory event applicability analysis, conducting risk assessments, and developing regulatory library and taxonomies.
His most recent experience prior to joining the firm included serving as a Compliance Senior Manager with a FINRA member investment bank broker–dealer serving institutional clients. He provided compliance and regulatory subject matter expertise in the areas of capital markets, bond and equity offerings, bond sales and trading, mergers and acquisitions, fairness opinions, electronic communications, books and records, and technology deployments. He also designed and facilitated a host of additional compliance, governance, personnel, branch office, and operational solutions. In this role, Brian successfully earned several FINRA licensures.
