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.

Practice Areas

• Broker-Dealer Advisory & Counseling
• FinTech & Blockchain
• Investment Advisory
• Regulatory Enforcement Defense
• Trading & Markets Counseling

Professional Affiliations

• Corporation, Finance and Securities Law Section, District of Columbia Bar

Publications

• CFTC Division of Enforcement Trends
  (Co-authored with Elizabeth Lan Davis)
  John Lothian News | (05/08/2018)
  
• Schwab Compliance Review | Personal Trading
  (Co-authored with Andrew J. Melnick)
  Charles Schwab | (2017)
  
• Reminder to Commodity Pool Operators and Commodity Trading Advisors: NOW is the Time to Get Your Information Systems Security Programs in Place
  (Co-authored with Christina M. Hill)
  (March, 2017)
  

Seminars and Presentations

• CFTC and NFA Cybersecurity Issues
  05/26/2016

In the News

• Market Intel at Heart of CFTC Reorganization, Lawyers Say
  Bloomberg BNA (Subscription Required) | (03/27/2017)
  
• Narrowing CFTC Enforcement Possible Under Trump, Lawyers Say
  Bloomberg BNA (Subscription Required) | (12/08/2016)
  
• Electronic Trading Leading To Data Deluge for CFTC Enforcement
  Bloomberg BNA (Subscription Required) | (10/31/2016)
  
• Automated Trading Firm Fined By CME Group for Computer Problems
  Bloomberg BNA (Subscription Required) | (10/31/2016)
  
• CFTC Asserts Jurisdiction Over Bitcoin
  (October, 2015)
  
• Commodity Futures Trading Commission Counsel Joins Murphy & McGonigle
  PR Newswire | (12/09/2013)
  

Education

• J.D., The Catholic University of America, Columbus School of Law, 2009
• B.A., University of Maryland, College Park, 2006

Admissions

• District of Columbia
• Maryland
• U.S. Court of Appeals, Fourth Circuit
• U.S. District Court, District of Columbia
• U.S. District Court, District of Maryland