Michael F. Brown, Esq. is Of Counsel to the firm, located in our San Diego office. Mr. Brown specializes in federal/state securities law, broker-dealer regulation, formation and compliance (supervision, policies and procedures, etc.) white collar defense, public and private company finance, reporting and Sarbanes-Oxley, FINRA and SEC regulations, securities industry custom and practice, arbitrations (both investor and broker-dealer defense), defense of administrative and regulatory actions. Mr. Brown has testified as an expert on these and other matters in arbitrations on behalf of investors and regulated broker-dealers and has lectured around the country on the markets, compliance, damages and related securities industry issues.

Mr. Brown is uniquely qualified to handle these and related matters as he has served as Trial Attorney for the Division of Enforcement of the United States Securities and Exchange Commission, General Counsel for three, full service nationwide securities broker-dealers, Financial Advisor for a major wire house as well as serving as an attorney in private practice, specializing in securities law and regulations. He has held the series 7, 63, 65 and 6 licenses.

EDUCATION
U.S. Department of Justice, Washington DC, Advanced Trial Advocacy, 1983.
University of San Diego School of Law, Juris Doctorate, Member and Staff Writer, Law Review, 1978.
Arizona State University, Bachelor of Science, Political Science, 1974.

BAR AND COURT ADMISSIONS
The State Bar of California
US District Courts, California
Fifth Circuit US Court of Appeals

Lectures/Courses
PIABA Annual Convention, Amelia Island, FL. "Punitive Damages In Arbitration." 2007.
University of Louisiana-Lafayette, Lafayette, LA. "A Comprehensive View of the Markets and Investments." 2000 and 2001.
National Association of Securities Dealers, Inc., San Diego, CA. "Compliance Issues Facing Securities Broker-Dealers." 1994.
Lorman Advanced Studies, San Diego, CA. "Effective Prosecution of Federal and State Securities Class Actions." 1993.
National Association of Securities Dealers, Inc., San Diego, CA. Arbitrator Training Seminar, 1993.
National Association of Securities Dealers, Inc., San Diego, CA. "Case Law Interpreting the Code of Arbitration Procedure and the Ethical Obligations of Arbitrators Applying Same." 1993.
18th Annual Rocky Mountain State-Federal-Provincial Securities Conference, Denver, CO. "Effective Investigation and Prosecution of Violations of the Federal Securities Laws." 1985.
Federal Practice Seminar, Denver, CO. Co-Chair with the Honorable Sherman Finesilver, Presiding Judge, U.S. District Court, Denver, CO. "Effective Practice Before Federal Regulatory Agencies."

PUBLICATIONS/ARTICLES
PIABA Annual Convention, Amelia Island, FL. "Punitive Damages in Arbitration." 2007.
University of Louisiana-Lafayette, Lafayette, LA. "A Comprehensive View of the Markets and Investments." 2000 and 2001.
The Times of Acadiana, Lafayette, LA. "Effective Portfolio Review for Investors." 2000.
Lorman Advanced Studies, San Diego, CA. "Effective Prosecution of Federal and State Class Actions." 1993.
University of San Diego School of Law, Law Review, San Diego, CA. "Tender Offerors: Enter the Control Battle At Your Own Risk." Vol. 15, No. 4, 771 (1978).