Brian Daughney

Professional Experience

Brian Daughney is a partner in the New York office of the Firm and is a member of the Corporate and Securities practice group. He focuses his practice on corporate and securities matters including business transactions, mergers and acquisitions, capital markets financing and broker dealer regulation.

His clients include entrepreneurs, startups, small cap and middle market public and private companies through the various stages of their development. He also represents corporations, limited liability companies and partnerships in their organizational activities, funding and credit transactions, mergers and acquisitions, leveraged buyouts and restructurings, initial public offerings, secondary public offerings, registered direct and shelf takedowns, 144A debt transactions, SPAC offerings and venture capital transactions.

Mr. Daughney has provided corporate services to clients in a number of industries including energy firms, software and technology firms, garment industry related firms, restaurant chains and food manufacturers, biopharmaceutical companies, employee staffing firms, broker-dealer and investment banking firms.

A significant portion of  Mr. Daughney's practice is concentrated on advising broker-dealer and investment bank clients on matters involving public and private capital raising activities, SEC and FINRA regulatory compliance, FINRA and SEC audits, inquiries and investigations. His broker-dealer clients have sought his guidance with respect to trading issues, net capital compliance, and other regulatory matters. He has represented investment banking clients in connection with shelf takedowns, registered directs, at the market offerings and PIPE offerings. He also advises clients in connection with the formation of broker-dealer firms and prepares compliance manuals and written supervisory procedures.

Finally, Mr. Daughney regularly advises clients with routine and complex corporate governance matters such as the Sarbanes-Oxley Act of 2002 and related SEC regulations, 33 Act and 34 Exchange Act compliance, Exchange Listing corporate governance requirements, fiduciary duties, conflicts of interest, board committee responsibilities, codes of conduct, compensation and benefits for directors and officers, and related party transactions. He has also led clients through the negotiation and documentation of shareholder agreements, limited liability company operating agreements, partnership agreements and employment agreements.

Professional Memberships

  • Securities Industry and Financial Markets Association Compliance and Legal Division (SIFMA-CL)
  • American Bar Association: Business Law Section; FINRA Corporate Financing Rules
  • Subcommittee; Private Placement Broker Dealer Subcommittee
  • Village of Garden City, New York: Trustee
  • Ireland Chamber of Commerce in the United States
Bar Admissions
  • New York
  • Hofstra University, J.D.
  • Clark University, B.A.