Morgan Lewis

Brian J. Baltz

Associate

Brian J. Baltz focuses his practice on the regulation of investment advisers, broker-dealers, and bank fiduciaries. Brian counsels clients offering investment advice and brokerage services through their private wealth and private client businesses on issues arising under regulation by the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and Office of the Comptroller of the Currency (OCC). Brian advises investment advisers, broker-dealers, and banks on investment management issues, including conflicts, disclosure, trading, wrap fee programs, soft dollar arrangements, advertising, and other ongoing regulatory compliance matters.

resource

Regulation of Retail Investment Advice
View our resources on the SEC Standards of Conduct rules

    Extended Profile

    Before joining Morgan Lewis, Brian held multiple positions in the SEC’s Division of Trading and Markets, including in the Office of Chief Counsel and Office of Market Supervision. While in the Office of Chief Counsel, he was part of the team responsible for drafting a proposed rule to establish a uniform standard of conduct for broker-dealers and investment advisers. Prior to his work at the SEC, Brian was public policy counsel to a financial services industry trade association based in Washington, DC, where he worked on legislative and regulatory issues impacting broker-dealers and investment advisers, including the Dodd-Frank Wall Street Reform and Consumer Protection Act.

    Education

    • Vanderbilt University Law School, 2008, J.D.
    • Iona College, 2004, M.B.A., With Honors
    • Iona College, 2002, B.B.A., Cum Laude

    Admissions

    • District of Columbia
    • New York

    Awards and Affiliations

    Member, Practice Group of the Year, Asset Management, Law360 (2017)

    Former Editor in Chief, Vanderbilt Journal of Entertainment and Technology Law

    News