NEW YORK 212.687.0099


The Law Office of Brian Kennedy is a full service firm with a long and solid track record of over 20 years of success in handling legal MATTERS related to:

  • investor complaints,

  • financial industry employment disputes,

  • bonus and other compensation disputes,

  • U-4 and U-5 expungements,  

  • criminal and regulatory charges defense.


For over 20 years, Brian Kennedy has gained a reputation for his experience, expertise, and effective representation of investors, brokers, traders, and other professionals and individuals. His experience with arbitration of investment related disputes has involved a myriad of issues such as fraud, unauthorized trading, churning, breach of fiduciary duty, denials of bonus and other compensation, and expungements of FINRA U-4/U-5 records.

Brian Kennedy is an experienced former Senior Assistant District Attorney in Brooklyn and the Special Narcotics Office in Manhattan. 

He has handled thousands of cases in federal District Court, Supreme Court, Criminal Court, as well as arbitration forums, including FINRA, NASD, NYSE, NFA, and AAA. As a prosecutor and claimant's attorney, Brian Kennedy has spent over twenty years on both sides, representing clients against investment firms, brokers, and criminal and regulatory charges. He also represents securities industry professionals who were unfairly denied their bonus and other compensation or want their FINRA U-4/U-5 records expunged, and handles diverse and often complex commercial litigation. He is also a FINRA arbitrator.

87 Walker Street, 2nd Floor, New York, NY 10013