FacultyFaculty/Author Profile
Brent A. Burns

Brent A. Burns

Law Offices of Brent A. Burns, LLC

Alpine, NJ, USA


Brent Burns started his own firm in 2008 and has focused his practice on the financial services industry. Brent represents individual and institutional investors in claims involving breach of fiduciary duty, breach of contract, negligence, fraud, suitability, unauthorized trading and churning.

Brent also regularly represents representatives in FINRA Regulatory and FINRA Enforcement Division investigations, employment disputes, bonus disputes, and partnership agreement negotiations.

He also has extensive experience representing both employers and employees regarding recruiting practices and litigation, specifically:
  • 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 brokers and negotiating the resolution of outstanding promissory notes;
  • Negotiating U5 language and responding to Rule 8210 Letters;
  • Advising broker-dealers on best practices when hiring a prospective broker; and   
  • Obtaining temporary restraining orders against former employees preventing them from using employer's trade secrets or defending against such actions

Brent has performed internal investigations of several stock loan departments and has represented firms and their current and former employees in related FINRA investigations.

Brent is a member of the Securities Litigation and Arbitration Committee of the New York State Bar Association (NYSBA), the Public Investors Arbitration Bar Association (PIABA) and the New York City Bar Association.

Brent is a frequent lecturer. He guest lectures each year at the St. John’s Law School Securities Arbitration Clinic and has spoken at several NYSBA and PIABA continuing legal education programs. He has also appeared on CNBC’s Closing Bell and has been quoted many times in the Wall Street Journal, On Wall Street, Investment News, Reuters and other publications.

Prior to starting his own firm, Brent worked at a boutique firm for the former head of litigation at PaineWebber, at a one-hundred attorney firm in Chicago, and as in-house counsel at Prudential Securities. Brent gained additional experience as an equities trader and has held Series 7, 55 and 63 licenses.

Brent A. Burns is associated with the following items:
Web Segment  Web Segment FINRA Arbitration - Fundamentals of Broker-Dealer Regulation 2018, Monday, July 23, 2018
MP3 Audio  MP3 Audio FINRA Arbitration - FINRA Arbitration, Monday, July 23, 2018
Transcripts  Transcripts FINRA Arbitration - FINRA Arbitration, Monday, July 23, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg FINRA Arbitration - FINRA Arbitration, Monday, July 23, 2018
On-Demand Web Programs  On-Demand Web Programs Fundamentals of Broker-Dealer Regulation 2018, Monday, July 30, 2018, New York, NY
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