Moore Friedman LLP

Steeped with industry knowledge, a master of facts, and an astute problem solver, Brian represents clients in investigations, courtrooms, mediations, and arbitrations, including FINRA arbitrations brought by customers or employees. Clients value Brian’s ability to turn complex factual and legal issues into compelling narratives and persuasive legal arguments.

Brian represents clients in a variety of complex disputes involving contracts, partnerships, joint ventures, securities, business torts, fiduciary duty, insurance, bankruptcy, real estate, and construction. Before determining a litigation strategy for a client, Brian gains a thorough understanding of the client’s business operations, needs, and goals.

He provides each client with strategic, results-based solutions that minimize the total cost and business disruption inherent to litigation. Clients also count on Brian to represent them in investigations and enforcement proceedings by federal and state agencies, including the Securities and Exchange Commission, FINRA, the Commodity Futures Trading Commission, the National Futures Association, securities and commodities exchanges, state securities regulators, and the New York State Office of the Attorney General.

For employers, Brian conducts internal investigations of employee complaints. He also represents employers in employment-related arbitration and litigation. A trusted advisor, Brian counsels employers on hiring employees subject to restrictive covenants and provides advice on various regulatory and compliance issues.

Brian also assists clients with drafting contracts and other agreements and provides outside general counsel services.

Brian graduated cum laude from Duke University with a degree in political science and history and received his law degree from New York University School of Law. Brian is admitted to the bar of the state of New York and the U.S. District Court for the Southern District of New York and the U.S. District Court for the Eastern District of New York.

Prior to forming Moore Friedman LLP, Brian was a Partner at Rosenberg & Estis and Epstein Becker & Green, P.C. and a Senior Counsel with Proskauer Rose LLP.

Brian lives in Irvington, New York with his wife and two daughters. Active in his community, Brian has been a trustee on the Board of Education for the Irvington Union Free School District since 2017 and has served as president from 2019-2024. Brian also served on the Board of Assessment Review for the Town of Greenburgh for 5 years deciding residential and commercial tax appeals.

Publications and Presentations

  • “SEC Exam Priorities for 2021: What You Need to Know,” EBG Commercial Litigation Update Blog
  • “FINRA Issues 2021 Report on Examination and Risk Monitoring Program,” EBG Commercial Litigation Update Blog
  • “Leadership Q&A with William O. Stein: An Account of a Jury Trial During COVID-19,” EBG Commercial Litigation Update Blog
  • “Missouri Court Denies Business Interruption Claim and Questions Prior Decisions,” EBG Commercial Litigation Update Blog
  • “Missouri Court Rules in Favor of Business Owners in COVID-19 Coverage Lawsuit,” EBG Workforce Bulletin Blog
  • “D.C. Judge Rules COVID-19 Closure Orders Do Not Constitute ‘Direct Physical Loss,’” EBG Workforce Bulletin Blog
  • “SEC and FINRA Provide Guidance on Regulation Best Interest,” EBG Workforce Bulletin Blog
  • “Federal Court’s Approval of Settlement in Litigation Over Expenses Charged to Brokers Offers Guidance on Settlement of Parallel Class Actions,” EBG Financial Services Employment Law Blog
  • CLE Webinar: “Financial Services Part IV: Internal and External Investigations in the Highly Regulated Financial Services Industry
  • CLE Webinar: “Missouri Court Rules in Favor of Business Owners in COVID-19 Coverage Lawsuit: Recent Developments on Business Interruption Claims Stemming from COVID-19”
  • Faculty, Proskauer CLE, Trial Advocacy Workshop
  • SEC’s 2016 Examination Priorities Focus on Retail Investors, Market Wide Risk and Use of Data Analytics, Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and Tracey Silver
  • “FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on Supervision and Controls,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and James Unger
  • “FINRA Arbitration Task Force Fails To Reach Consensus On Many Major Issues,” Proskauer Corporate Defense and Disputes Blog, with Harry Frisher and Massiel Pedreira
  • “SEC Proposal Would Limit Investment In Derivatives By Investment Companies,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and Tracey Silver
  • “CFTC Proposes New Regulations For Algorithmic Trading,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and Philip Arnold
  • “SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer
  • “SEC Director of the Division of Enforcement Discusses Market Structure Enforcement,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and Tracey Silver
  • “CFTC Chair Discusses the CFTC’s Response to Algorithmic Trading,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and Tracey Silver
  • “SEC Chair Calls for Reexamination of Treasury Market Regulations in Light of High Speed Electronic Trading,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer, Boris Zeldin and Stacey P. Eilbaum
  • “CFTC Accuses Firm Manually Entering Orders Of Spoofing Scheme That Fooled Algorithmic Traders,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer, Boris Zeldin and Stacey P. Eilbaum
  • “Coding Errors Lead To SEC Sanctions for High-Frequency Trading Firm,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer
  • “Big Loss For Plaintiffs In High Frequency Trading Cases,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and Boris Zeldin
  • “SEC Sanctions Dark Pool Operator and Affiliated High Frequency Trader,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and Alyse F. Stach
  • “New York AG May Face A Tough Road In High Frequency Trading Case Against Barclays,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer, Stephen Ratner and Celia Cohen
  • “SEC Sanctions Two Exchanges for Failing to Accurately Describe Order Types and Making Preferential Disclosure to High Frequency Traders,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer, Boris Zeldin and Stephen Ratner
  • “FINRA’s 2015 Examination Priorities Zero In On Abusive Trading Algorithms and Other Issues Involving Trading Technology,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer, Michael Hackett and Stephen Ratner
  • “SEC Working Papers Suggest Market Benefits From Certain Types of High-Frequency and Low-Latency Trading,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer, Edward Canter and Stephen Ratner
  • “Regulators Continue To Address High-Frequency Trading,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer, Boris Zeldin and Stephen Ratner
  • “Second Circuit Rules That Derivatives Counterparty Is Not A “Customer” of Broker-Dealer Under FINRA Rules,” Proskauer Corporate Defense and Disputes Blog, with Harry Frischer and Philip Arnold

Memberships

  • New York City Bar Association
  • Westchester County Bar Association