Brian A. Carlis, Shareholder and Co-Chair of the Investment Management & Securities practice, represents clients in all aspects of securities arbitration proceedings and regulatory matters. Mr. Carlis counsels the financial services industry on a wide range of topics including, formation, compliance and employment-related matters. Mr. Carlis is a frequent lecturer and commentator on securities arbitration and investment-related matters and has conducted arbitrator-training seminars for the Financial Industry Regulatory Authority, Office of Dispute Resolution. He has also conducted in-house seminars for brokerage and investment advisory firms, focusing on ways to minimize exposure to litigation and arbitration expense and regulatory scrutiny.

Bar Admissions

  • 1990 State Bar of New Jersey
  • 1990 State Bar of Pennsylvania

Education

University of Maryland, College Park, MD 20742
BA - Bachelor of Arts - 1985
Widener University School of Law, 4601 Concord Pike, Wilmington, DE 19803
JD - Juris Doctor - 1989
Widener University School of Law, 4601 Concord Pike, Wilmington, DE 19803
LL.M - Master of Laws - 1990

Career Highlights

  • Martindale-Hubbell AV Preeminent Rating issued by LexisNexis
  • Is Arbitration on Wall Street A Rigged Game? Thomson Reuters: Reuters Insider. Side Bar with Bill Singer. June 19, 2013.
  • Taking Clients To Your New Firm Can Be Tricky. Financial Advisor. January 2, 2015.

Gallery

loading
Getting Brian's schedule....
Would you recommend to your friends and family?