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Leading FINRA attorney joins Nixon Peabody in New York City

By: Nixon Peabody LLP |  0 Shares     68 Reads

May 27, 2014 - New York, NY – Nixon Peabody has expanded its Government Investigations and White Collar Defense practice in New York City with the arrival of Bradley L. Mirkin, former Senior Litigation Counsel at FINRA Enforcement. FINRA is the Financial Industry Regulatory Authority and the U.S.'s largest independent securities regulator providing oversight to more than 4,000 securities firms and their registered representatives.

At FINRA, Brad served as lead counsel in some of FINRA's largest and most challenging cases. He also consulted on significant Enforcement, Member Regulation and Market Regulation investigations, examinations, and disciplinary actions.

"As the Securities & Exchange Commission, FINRA and other regulators step up their enforcement, Brad will be a terrific asset to our clients in the securities industry," said David Vicinanzo, Leader of Nixon Peabody's Government Investigations and White Collar Defense practice. "As a skilled trial lawyer experienced in representing FINRA as well as prominent financial institutions who also served as a broker-dealer's Chief Operating Officer and Chief Compliance Officer, Brad offers clients a unique understanding of compliance programs, the securities laws, rules and regulations and FINRA and SEC enforcement."

Brad, who joins Nixon Peabody as Counsel, will focus on strategic counseling, responding to and defending FINRA, SEC and Financial Crimes Enforcement Network (FinCEN) investigations and enforcement proceedings, advising on compliance programs, risk analyses and best practices, and handling commercial litigation involving federal and state securities laws.

Prior to joining FINRA, Brad was a Chief Operating Officer and Chief Compliance Officer at a FINRA member firm specializing in prime brokerage, also serving as its Anti-Money Laundering Compliance Officer. Previously, Brad was a litigation partner at a prominent Florida law firm representing some of the world's leading financial institutions.

Brad is a former Co-Chair of the American Bar Association's International Anti-Money Laundering Committee. He is an appointed member of the ABA's Task Force on Anti-Money Laundering and Anti-Terrorism Initiatives and the former Vice Chair of the International Law Section's International Financial Products and Services Committee. Brad earned his J.D. from the University of Pennsylvania and received a Master's degree from the London School of Economics and Political Science. He earned his undergraduate degree from Brandeis University.

SOURCE Nixon Peabody

Contact:

Brian Moynihan
bmoynihan@nixonpeabody.com
617-345-1064

 

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