July 10, 2023
New York, NY, July 10, 2023 -- Willkie Farr & Gallagher LLP today announced that broker-dealer and securities regulatory lawyer Brian Baltz has joined the Firm as a partner in the Asset Management Department, where he is a part of the Regulatory and Enforcement practice. Brian is based in Willkie’s Washington, DC office. A former Securities and Exchange Commission attorney, Brian has significant experience with regulatory issues across broker-dealer, investment adviser and bank fiduciary businesses of financial institutions.
“Brian is a skilled lawyer whose practice sits at the intersection of asset management, regulatory and enforcement matters,” said James Anderson, a partner in Willkie’s Asset Management Department and Chair of the Regulatory and Enforcement practice. “His experience helping broker-dealers and investment advisers navigate complex regulatory issues complements our broad platform serving virtually all types of participants in the asset management industry.”
Brian’s practice focuses on regulatory and compliance advice to investment advisers, broker-dealers, bank fiduciaries, and municipal advisors. He regularly assists clients in developing practical approaches to address complex issues under the U.S. federal and state securities laws, OCC rules governing bank fiduciaries, and laws governing retirement account fiduciaries under ERISA and Section 4975 of the Internal Revenue Code of 1986. Brian also guides clients in seeking regulatory relief and navigating examination and enforcement matters involving federal and state regulators. Brian served as special counsel in the SEC’s Division of Trading and Markets, both in the Office of Chief Counsel and Office of Market Supervision. While at the SEC, he played an active role in the agency’s deliberations over the integration of broker-dealer and investment adviser regulations issues impacting retirement accounts, and the SEC’s adoption of regulations impacting municipal advisers. Brian was most recently a partner at McGuireWoods LLP.
Brian commented: “Willkie is a market leader in asset management and I’m excited to join the Firm’s talented team of practitioners, adding to the regulatory and enforcement capabilities offered to clients across the asset management industry.”
Brian’s addition follows approximately a dozen significant lateral hires and promotions in Willkie’s Washington, DC office since last year, including additions to the firm’s Securities Litigation & Enforcement, Compliance, Investigations & Enforcement, Antitrust & Competition, Willkie Digital Works, White-Collar Defense, and Litigation groups, among others. Most recently, Willkie’s Washington, DC office welcomed globally recognized antitrust litigation partner Katrina Robson in April, and prominent investigation and compliance leaders Timothy Heaphy and Soumya Dayananda in February.
Willkie’s preeminent Asset Management Department leverages comprehensive subject matter experience and capabilities across all asset classes to advise virtually all types of participants in the asset management industry, including privately owned sponsors and investment managers, publicly-traded asset management firms, broker-dealers, insurance companies, wealth management platforms, and banks, among others. With more than 110 attorneys across seven offices in the U.S. and Europe, our Asset Management team advises on the full spectrum of investment management matters, including fund formations, investments, restructurings, fund financings, asset management M&A, secondaries transactions, liquidity and capital solutions, fund “adoptions,” and operational, compliance and regulatory issues. The group’s 250+ clients include some of the world’s most prominent asset management firms.
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Willkie Farr & Gallagher LLP provides leading-edge legal solutions on complex, business critical issues spanning markets and industries. Our approximately 1,200 attorneys across 13 offices worldwide deliver innovative, pragmatic and sophisticated legal services across approximately 40 practice areas. Learn more at www.willkie.com.
