Biography

Brad is the Chief Administrative Officer and General Counsel of Incapital, which is an investment banking, institutional sales and trading, and new issue debt distribution firm based in Chicago with offices in Boca Raton and New York.  Brad is a member of Incapital’s Executive and Management Committees and serves as Corporate Secretary to the Incapital Board.

Prior to joining Incapital, Brad was the General Counsel and Corporate Secretary of Mesirow Financial, held senior level roles at Van Kampen/Morgan Stanley and EVEREN Securities, was in private practice at a law firm and served as an Enforcement Division Branch Chief with the US Securities and Exchange Commission.

Brad obtained his BA from Cornell University, JD from the University of Miami and MBA in finance and accounting from the University of Chicago Booth Graduate School of Business.  He recently completed his tenure as a Director of the National Society of Compliance Professionals and is a frequent speaker on regulatory and compliance issues.  Brad wrote a chapter for a securities compliance treatise Modern Compliance, published by Wolters Kluwer, entitled “Corporate Transactions:  The Role of Compliance.”

Associated Items

1 item
Date
Program or Publication
Format
6/17/2019
Live Program