Brian J. Ellis

Counsel

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  • Fax 973.514.1660
Brian J. Ellis
Brian J. Ellis

Brian Ellis is a trusted counselor and creative problem solver. He concentrates his practice in the firm's Securities and Litigation practice groups.  

Brian regularly appears in state and federal courts in New York and New Jersey, including at the appellate level, passionately and proficiently advocating on behalf of broker-dealers, associated persons, hedge funds, and other financial services professionals.  Brian also represents corporate and individual contenders in arbitrations and mediations throughout the United States.

Brian is an effective communicator, a seasoned litigator, and an unrelenting advocate with a solid history of producing results that matter to clients. In addition to his securities work, Brian's broad litigation experience includes favorable resolutions to disputes involving regulatory compliance, employment relationships, trust and estate matters, intellectual property rights, general commercial transactions, and e-discovery issues.  Whether prosecuting a client's claims or defending a client from potential liability, Brian is devoted to the best possible outcome in each and every matter that he handles.  As a result, Brian has been recognized by Super Lawyers as a "Rising Star" star each year since 2014.

Brian is a graduate of Rutgers Law School in Camden, New Jersey and completed his undergraduate work as a member of the Schreyer Honors College at The Pennsylvania State University.  During law school, Brian was an editor for the Rutgers Law Journal, a Student Government Association representative, and a teaching assistant for First Year Torts.  Also named a Marshall-Brennan Fellow, Brian taught Constitutional Law to high school students in the City of Camden.  

Brian is an alumnus of the summer associate program at Bressler, Amery & Ross.

Representative matters include:

  • Managed and appeared in customer-initiated and intra-industry arbitration proceedings before FINRA Dispute Resolution, Inc.
  • Secured a favorable outcome to complex New York state court litigation involving restricted common stock issued pursuant to a corporate merger
  • Aggressively prosecuted fraud claims against, and secured a favorable recovery from, principals of a bankrupt New York corporation
  • Permanently enjoined out-of-state actors from maintaining websites that defamed New Jersey businesses and violated their intellectual property rights
  • Successfully dismissed claims and subsequent appeals brought against a hedge fund and its principals in connection with Private Investment In Public Entity (PIPE) transactions
  • Represented broker-dealers and registered representatives in response to regulatory investigations and enforcement actions involving a variety of complex investment products, including viatical settlements, variable annuities, and structured products
  • Successfully expunged securities registration records of financial advisors and other registered representatives employed by FINRA-member firms throughout the country
  • Co-authored successful Ninth Circuit Amicus Curiae brief on behalf of the Lawyers' Committee for Civil Rights Under Law in support of civil rights plaintiffs' entitlement to a recovery of attorneys' fees incurred in vindicating their rights (pro bono)
  • Recognized on the Super Lawyers "Rising Stars" List, 2014-2017