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Brian J. Neville

Securities and investment fraud Attorney at New York, NY

5.0   1 review

About Brian

Learn Brian’s areas of practice.

Practice areas
  1. Securities and investment fraud
    One of our main practice areas at Lax & Neville, LLP is securities arbitration. Our years of specialization in this area and experience as in-house counsel truly separate us from our competition. Partners from Lax & Neville, LLP, have worked at such firms as Prudential Securities, Josephthal, and CIBC Oppenheimer in the 1990s, before venturing out to different areas of legal work mainly defending brokerage firms in all aspects of litigation.

    30 years

  2. Contracts and agreements
    When any registered individual, whether it be a retail producer, investment banker, research analyst, trader or management executive decides to seek a change of employment, there are many reasons to retain experienced counsel early in the process. In particular we advise brokers regarding the "Protocol for Broker Recruiting". The potential problems are many, and our firm has guided dozens through the process. We offer strategic advocacy on behalf of brokers.

    30 years

  3. Arbitration
    Knowledge of the industry and the demands of securities arbitration Our legal team to bring our arbitration experience to each case on which the firm is retained. To this end, we continue to serve a base of smaller and regional broker dealers, while remaining fiercely independent from, and often times adverse to, the larger wire-houses. Because we are a small firm by NYC standards, we believe we bring first-tier representation to cases that the large litigation powerhouses cannot handle.

    30 years

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.

Licensed for 29 years
State NY
Status Currently Registered
Acquired 1994
Updated 04/15/2023
State NJ
Status Active
Acquired 1994
Updated 03/07/2023

We have not found any instances of professional misconduct for this lawyer.

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Lax & Neville LLP
The Empire State Building
350 Fifth Ave, Suite 4640
New York, NY, 10118


5.0 / 5.0
  1 customer review
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1 Star
Posted by Anne | February 19, 2016
This review is from a person who hired this attorney.
| Hired Attorney
Life Saver! Fabulous Lawyer & Firm
I was widowed less than 1 year when I found out my investor was gambling away my life savings and retirement in puts and calls. Making large commissions on every transaction while I lost over $300K in less than 6 months. I was recommended to Brian Neville and the firm by a former arbitrator for actions against investment firms. My first call to Brian was returned that day and he talked to me for almost an hour. I was absolutely beside myself, having lost so much money, with three children and my youngest going through college. I cannot say enough about Brian and the firm and how they stood behind me the entire two year period of the legal battle. The investor that robbed me of my savings thought there was no way I could win and refused to negotiate a settlement. Brain advised me that I absolutely could win and encouraged me to move forward with the suit. Lax and Neville helped me win all of the my lost money, with interest, and the settlement included legal fees for them. It was a sweet sweet victory that I believe was totally because of the firm representing me! I 100% recommend Brian Neville and his firm.
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  • Free Consultation 30 minutes
  • Hourly Rates $ 400-500 per hour
  • Contingency 33%-33%
Payment methods
Check, Credit Card


AVVO RATING 8.1 (Excellent)

Work Experience

  • Adjunct Professor
  • Stevens Institute of Technology
  • 2015 - Present
  • Partner
  • Lax & Neville LLP
  • 2007 - Present
  • Owner
  • Law Offices of Brian Neville, PC
  • 2000 - 2007
  • Associate General Counsel
  • Josephthal & Co.
  • 1996 - 2000
  • Attorney
  • Prudential Services, Inc.
  • 1994 - 1996
  • In-house counsel
  • Prudential Securities
  • 1993 - 1995
View all work experience


  • New York Law School
  • JD - Juris Doctor
  • 1993
  • University of Scranton
  • BS
  • 1990

Legal Cases

  • Frank H. Suits, Jr. et al. vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Michael Keefe Gorman
  • client received $128,000
  • Westminster Securities Corp. and John O'Shea vs. HQ Sustainable Maritime Industries, Inc.
  • Our client won $528,234.00
  • Mitchell Slater v. Merrill Lynch, Pierce, Fenner & Smith. Inc. and Thomas Fickinger
  • Our cleint won expungement
View all legal cases


  • New York County Lawyers' Association
  • Member
  • N/A
  • New York State Bar Association
  • Member
  • N/A
  • New Jersey State Bar Association
  • Member
  • N/A
  • U.S. District Court, District of New Jersey
  • Admitted to Practice
  • N/A
  • US District Court, SDNY
  • Admitted to Practice
  • N/A
  • U.S. District Court, EDNY
  • Admitted to Practice
  • N/A
  • U.S. Court of Appeals for the Second Circuit
  • Admitted to Practice
  • N/A
  • FINRA Dispute Resolution
  • Chairperson
  • N/A
  • New York City Bar Association, Legal Referral Service Program
  • Panel Member
  • N/A
View all associations

Languages Spoken

  • English

Honors and Awards

  • Super Lawyer
  • SuperLawyers
  • 2016

Speaking Engagements

  • Securities Arbitration Clinic
  • Brokerage Arbitration
  • 2014
  • Navigating Wall St. Reform
  • Will the SEC Extend Fiduciary Obligations to Broker-Dealers?
  • 2010
  • CPA Compliance Seminar
  • Compliance for CPA's who are also Registered Representatives
  • 2010
  • Avoiding Litigation Seminar
  • How to Protect your Independent Broker Dealer Practice
  • 2010
  • Securities Arbitration & Mediation 2009 - The New World
  • Securities Arbitration & Mediation
  • 2009
View all speaking engagements

Attorney endorsements

Received (3)
Given (2)
Endorse Brian
Employment and labor Attorney | May 13
Relationship: Worked together on matter
"I've worked with (and against back in the day) Brian for over 20 years. He is smart, ethical, a tireless worker and represents employees and investors as well as any attorney in our space."
Securities and investment fraud Attorney | Nov 06
Relationship: Fellow lawyer in community
"Brian is an experienced and knowledgeable attorney. I fully endorse this attorney."
Securities and investment fraud Attorney | Mar 03
Relationship: Fellow lawyer in community
"I endorse Brian Neville. I have known Brian for many years as a fellow attorney who successfully handles FINRA arbitrations and securities litigation of all types with precision. He is highly qualified, well known in the industry and highly recommend him without reservation."
New York Securities and investment fraud Lawyer Brian J. Neville
Brian J. Neville
Securities and investment fraud Attorney
New York, NY
Licensed for 29 years
Free Consultation