Brian Jaeger
Broker-Dealer & RIA Attorney | Securities Litigation & FINRA Arbitration | FINRA & SEC Investigations and Compliance
- Role
- Litigation Associate at D\'amura & Zaidman, Pllc
- Location
- Boston, MA, US
- LinkedIn followers
- 500 followers
About Brian Jaeger
I have extensive experience with FINRA and SEC investigations, customer complaints, and examinations. I spent 8 years at FINRA in its Member Supervision and Market Regulation departments conducting investigations into broker-dealers, financial advisors, and publicly traded companies. I also was selected as Team Leader of my group’s Cryptocurrency team. I now use my experience and insight to help clients navigate FINRA and SEC investigations/inquiries, FINRA arbitration matters, and other regulatory compliance issues.
Experience
Litigation Associate
Mar 2025 — Present
FINRA arbitration & securities litigation- FINRA/SEC investigations, inquiries, & exams- Regulatory and compliance advice for broker-dealers and investment advisers- Firm filings (Form BD, ADV, CMA, U4, U5)- Customer complaints- Financial advisor firm transitions- General Litigation
Education
Christopher Newport University
Bachelor’s Degree, Business (Magna Cum Laude)
2009 — 2013
George Mason University - Antonin Scalia Law School
Juris Doctor (J.D.)
2014 — 2017
Skills
- Powerpoint
- Microsoft Office
- Customer Service
- Marketing
- Leadership
- Golf
- Time Management
- Microsoft Excel
- Microsoft Word
- Research
- Social Networking
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