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Brian J. Neville - New York, NY

1450 Broadway, 35th Floor New York, NY 10018

Super Lawyers®

1

Updated: 07/24/2014

New York Broker/Dealer Disputes Lawyer

Overview

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...

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


About Brian J. Neville

Current Employment Position(s)

  • Partner

Practice Areas

  • Broker/Dealer Disputes
  • Securities Litigation
  • Regulatory Defense
  • Employment Litigation
  • Commercial Litigation

Qualifications

Bar Admissions

  • New York
  • New Jersey
  • U.S. District Court District of New Jersey
  • U.S. District Court Southern District of New York
  • U.S. District Court Eastern District of New York

Other Affiliations

  • New York County Lawyers' Association (Member)
  • Association of the Bar of the City New York (Member)

Classes and Seminars

  • Arbitrator and Designated Chairperson, FINRA Dispute Resolution
  • Adjunct Professor, Business Law

Past Positions

  • Josephthal & Co., Inc., Associate General Counsel, 1996 - 2000
  • Prudential Securities Incorporated, Attorney, 1994 - 1996

Education

  • New York Law School, New York, New York, 1993
    J.D.
  • University of Scranton, Scranton, Pennsylvania, 1990
    B.S.
    Major: Accounting

Fees

Accepts Credit Cards

Office Information

Address

1450 Broadway, 35th Floor New York, NY 10018

Fax

  • (212) 566-4531

Achievements

Other Sources of Feedback About Brian J. Neville

Included on the 2024 New York Metro list


Past Lists

  • 2023 New York Metro Super Lawyers list
  • 2022 New York Metro Super Lawyers list
  • 2021 New York Metro Super Lawyers list
  • 2020 New York Metro Super Lawyers list
  • 2019 New York Metro Super Lawyers list
  • 2018 New York Metro Super Lawyers list
  • 2017 New York Metro Super Lawyers list
  • 2016 New York Metro Super Lawyers list

View the profile for Brian J. Neville on Super Lawyers

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