Brian J. Neville, a founding partner of LAX & NEVILLE LLP, has significant experience in broker/dealer, securities, regulatory defense, employment and commercial litigation in arbitration forums and state and federal courts. He has arbitrated cases in at least 17 states and has been lead counsel on well over five hundred matters.
Mr. Neville has successfully represented investors and broker dealers in disputes involving sales practice issues and employment disputes. Mr. Neville has also represented firms and registered representatives in enforcement actions by FINRA (formerly the NASD and NYSE) and the SEC. On behalf of investors, he has recovered in excess of $50,000,000. On behalf of his defense clients, which tend to be individual registered representatives, management of broker dealers or smaller/regional brokerage firms, he has successfully defended and resolved numerous cases.
In complex commercial litigation and AAA arbitration, Mr. Neville has represented hedge funds and boutique investment banks against issuers and others in highly sophisticated litigation and obtained significant arbitration awards and settlements for his clients. Mr. Neville has argued important arbitration related issues in state and federal court and has successfully defended significant arbitration award appeals in the Second Circuit Court of Appeals.
Mr. Neville also represents a substantial number of registered representatives in their transitions or moves between brokerage firms. He has recently been featured and quoted in "Registered Rep" and "On Wall Street" magazines for his expertise and experience on broker recruiting issues and expungement of a broker's publically disclosed records.
Mr. Neville has significant experience in SIPC liquidation matters representing investors in several aspects of the process, including, defending significant avoidance and preference ("Clawback") claims in Federal Court.
Based on his expertise, Mr. Neville has been featured in the press, both nationally and locally, in news programs and in an array of publications.
Speaking Engagements:
- Avoiding Litigation Seminars at multiple financial services institutions
- Guest lecturer, Securities Arbitration Clinic
