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My practice focuses on the representation of investors and advisors throughout the United States in relation to the financial services industry.
I represent individual and institutional investors in arbitrations and litigations involving claims of breach of fiduciary duty, breach of contract, mismanagement, fraud, suitability, unauthorized trading and churning.
I also represent traders, brokers, senior managers and officers regarding employment disputes such as discrimination, unpaid bonuses, severance packages, and forfeiture-for competition clauses for unvested stock.
I have extensive experience representing both employers and employees regarding recruiting practices including advising brokers of best practices to avoid litigation before they resign, negotiating on behalf of brokers with new prospective employers, advising brokers regarding their employment contracts and non-competition/non-solicitation agreements, advising broker-dealers on best practices when hiring a prospective broker, advising brokers and negotiating the resolution of outstanding promissory notes, and obtaining or defending against temporary restraining orders.
I have also performed internal investigations of several stock loan departments, and have represented those firms and their current and former employees in regulatory investigations.
I am currently an officer of the Securities Litigation & Arbitration Committee of the New York State Bar Association.
I am also a member of the Public Investors Arbitration Bar Association where I serve on several committees that prepare comment letters regarding proposed securities legislation and self regulatory rules. I was recently honored "for assisting PIABA in its SRO Comment efforts and furthering the protection of investors against investment abuses."
I am admitted to the bar in New York, New Jersey and Illinois and can represent parties in FINRA arbitrations throughout the United States.
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Chat withState: Illinois
Acquired: 1997
No misconduct found
State: New York
Acquired: 1994
No misconduct found
State: New Jersey
Acquired: 1993
No misconduct found
87 Ruckman Rd. Suite 102, Alpine, NJ, 07620-1098
27 Whitehall Street, 4th Floor, New York, NY, 10004-2117
8 Client Reviews
Showing 1 - 5 of 8 reviews
Posted by anonymous | June 22, 2020 | Hired Attorney
recent client
I found Mr. Burns to be very knowledgeable, an excellent resource and help with my matter. He was focused and to the point.!
Posted by Rachael | March 20, 2019 | Hired Attorney | Financial Markets and Services
Registered Associate
Receiving a FINRA inquiry letter was one of the most unsettling moments of my life. Having been in the securities business for over 20 years, I never thought it would happen to me. My first instinct was to be cheap and respond on my own. I’m so glad I decided to discuss with an attorney before res...
Posted by Frank | September 27, 2018 | Hired Attorney | Business
VP
I retained Brent’s services when transitioning my Business from a firm I had been with for over 30 years. And then again a few years later, because when you have questions, you need someone who represents you, and your interests. Not the firm. Brent was worth every penny, ten times over. It’s nice...
Posted by anonymous | October 13, 2017 | Hired Attorney
confirmation of Brent Burns going to bat for you for your greater good
As a former baseball player, I was grateful for Brent being a strategic coach for my case. I felt like he was in the batter's box with me and stayed with me around the bases until we got home if you will. I considered him a teammate along the way and would have him back in my dugout any time should...
Posted by anonymous | April 01, 2014 | Contracts & Agreements
Highly Recommend
I first hired Brent to help me review my contract when I moved my practice from a regional brokerage firm to a wirehouse. I am a million dollar + producer and this was my first and only move. Brent came highly recommended from a colleague and after working with him and seeing the value he brought, I...
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2015
Appreciation from PIABA Self Regulatory Organization Committee, Public Investors Arbitration Bar Association
2015
Appreciation from PIABA Legislative Committee, Public Investors Arbitration Bar Association
2014
SRO Comment Letter Appreciation, Public Investors Arbitration Bar Association
2013
SRO Comment Letter Appreciation, Public Investors Arbitration Bar Association
2013
Proclamation of thanks for Teamwork in Saving a Life, Borough of Leonia Office of the Mayor
2013 - Present
Public Investors Arbitration Bar AssociationMemmber of Legislative and SRO Committees
1998 - Present
New York State Bar Association - Securities Litigation and Arbitration CommitteeSecretary
2015
2014
Equity Crowdfunding
2009
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