Brian Walsh represents clients in regulatory inquiries, investigations, and litigation involving the Commodity Futures Trading Commission (CFTC), Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), National Futures Association (NFA), and other regulatory agencies. Brian also provides guidance to broker dealers, investment advisers, commodity pool operators, introducing brokers, and commodity trading advisors in connection with regulatory compliance matters.
Prior to joining Murphy & McGonigle, Brian was an attorney at the CFTC, first serving as an advisor to the CFTC's Director of Enforcement, followed by three years as a line enforcement attorney. From his time in government as well as in private practice, Brian has developed broad experience in CFTC compliance and enforcement matters, including those involving trade practice violations, market manipulation, fraud, margin requirements, segregation of funds, and regulatory filing deficiencies, among others.Professional AffiliationsCorporation, Finance and Securities Law Section, District of Columbia Ba
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