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Former FINRA general counsel joins Wilkie’s Washington office

Willkie Farr & Gallagher has appointed Brant K Brown ,an associate general counsel at the Financial Industry Regulatory Authority, Inc. (FINRA), as counsel in the firm’s Washington office. 

Brown’s hire is the latest regulatory addition to the firm’s Washington office in recent months, following former Chairman (and Director of the Office of Enforcement) of the Federal Energy Regulatory Commission Norman C. Bay and former Acting General Counsel and Deputy General Counsel for the Department of the Treasury Priya R. Aiyar, who joined the firm in September.

“Brant’s strong reputation and experience bring added depth to our team of asset management attorneys who regularly advise clients on complex SEC and FINRA issues,” says Jim Burns, Willkie partner and former SEC Deputy Chief of Staff and Deputy Director of the SEC’s Division of Trading and Markets. “He is well regarded and highly accomplished, and will be a tremendous asset to our clients as they navigate the changing SEC and FINRA regulatory environments.”

Brown has significant experience working with self-regulatory organisations and broker dealers on a range of regulatory, compliance and enforcement-related matters. At Willkie, he will advise asset management and private equity clients on regulatory matters they face as they navigate the complex legal environment.

At Wilkie, Brown joins a team of former senior attorneys from numerous branches of federal government and other regulatory agencies, including SEC, CFTC, DOJ, FCC, DOC, FERC, ITC and NTIA, Treasury, as well as the White House and State Department, who have built successful practices after leaving their government service.

Brown served in FINRA’s Office of General Counsel for 13 years, most recently as associate general counsel. He was responsible for advising senior management, departments and committees of FINRA on complex regulatory initiatives and rule proposals, developing and drafting regulatory notices and rule filings for submission to the SEC, and preparing materials for FINRA’s Board of Governors. He also regularly counselled FINRA’s Departments of Market Regulation, Transparency Services and Finance and worked closely with SEC staff on multiple high-profile regulatory initiatives, including establishing FINRA trade reporting requirements for trading activity in the Treasury market and representing FINRA in a significant role on the Consolidated Audit Trail Initiative. At FINRA, he was the recipient of several honours, including the FINRA Chairman’s Award, FINRA’s highest award.

Prior to his time at FINRA, Brown was an associate in the securities group of a large Washington law firm where he advised clients on securities laws and rules and represented firms and individuals in securities enforcement matters.

“I am excited to join Willkie’s outstanding Asset Management team,” says Brown. “Willkie has a preeminent practice in providing sophisticated advice to a wide range of clients, and I look forward to being a part of this talented and dedicated group.”

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