Brian Neville

Brian J. Neville is a founding partner of Lax, Neville & Intelisano LLP with significant experience representing financial advisors, registered representatives, investors, broker-dealers, executives, and financial institutions in securities, employment, regulatory, and complex commercial matters.He has served as lead counsel in more than 500 matters and has arbitrated cases in at least 18 states. His practice includes financial advisor transitions, Broker Protocol and non-Protocol matters, recruiting and retention disputes, employment agreements, deferred compensation, promissory notes, Form U5 issues, restrictive covenants, succession planning, FINRA enforcement proceedings, and securities arbitration.Brian has recovered more than $50 million on behalf of investors while also successfully defending registered representatives, brokerage-firm management, regional broker-dealers, hedge funds, and boutique investment banks in significant industry disputes. He has argued arbitration-related issues in state and federal courts and has successfully defended arbitration awards on appeal.Brian is also a FINRA arbitrator and designated chairperson. He has been retained as an expert witness concerning financial advisor transitions, recruiting practices, client retention, and industry standards of care.