Brian Carroll

Brian Carroll has served on the staff of the U. S. Securities & Exchange Commission for over a quarter century. He joined the SEC as a Senior Trial Counsel with the Division of Enforcement. Currently, Mr. Carroll serves a Senior Special Counsel with the Division of Examinations where he provides legal advice to SEC staff conducting compliance examinations of investment advisers, private investment funds, broker dealers, mutual funds, business development companies, exchanges and other trading platforms, many of which are public companies. Before joining the SEC, Mr. Carroll served as an Assistant United States Attorney at the U.S. Department of Justice. Mr. Carroll has twice been awarded the SEC Chairmen’s Award for Excellence and has received the U.S. Department of Justice’s Commendation for Outstanding Performance and Special Achievement Award. Earlier in his career, Mr. Carroll was a Judicial Law Clerk to the Honorable Frederic S. Berman, New York State Supreme Court, and Honorable Daniel H. Huyett, 3rd, United States District Court.  In addition to guest lecturing, Mr. Carroll has taught at three U.S. law school where his courses included: The Law of Investment Management, SEC Enforcement, Securities Litigation and Enforcement, Securities Regulation and Problems in Corporate Disclosure and Securities Fraud. Currently, he teaches and co-teaches courses on comparative EU and US securities regulation at the Vienna University Faculty of Law and the Vienna Business University Faculty of Law. Mr. Carroll received his Bachelor of Arts degree (Economics) from New York University and Juris Doctor degree from Rutgers Law School. In addition to being a licensed attorney, Mr. Carroll is a certified public account and certified internal auditor. He is widely published on securities regulation issues.