Brian F. Mumford PLLC

Brian F. Mumford, for the past twenty-five years, has been engaged in representing securities broker-dealers and financial consultants throughout the United States in the negotiation, mediation, arbitration, and litigation of broker-dealer disputes and employment issues, as well as customer claims.  He has been engaged in both civil and criminal securities fraud cases, and has conducted internal investigations and represented clients regarding corporate malfeasance.  Mr. Mumford also represents broker-dealers and financial consultants in regulatory matters before the Securities Exchange Commission, New York Stock Exchange, and NASD, as well as state regulatory agencies. 

Mr. Mumford is licensed to practice law in Florida and New York State.  Before entering private practice, he served as a New York State Deputy Assistant Attorney General in the Bureau of Claims and Litigation and also served as an Assistant United States Attorney for the Northern District of New York, where he prosecuted tax fraud cases and was in charge of civil litigation.  During his entire career, he has been involved in the litigation of civil and white collar criminal cases. 

Mr. Mumford is admitted to the U.S. District Courts in the Southern, Northern and Western Districts of New York; U.S. Court of Appeals, Second Circuit; U.S. Supreme Court; U.S. Tax Court; and U.S. Court of Federal Claims.  He is an approved arbitrator for NYSE and has served as an arbitrator and mediator in state court proceedings.

Mr. Mumford has lectured at broker and manager conferences held by brokerages firms on the topics of securities arbitration and risk management.  He has been a presenter at trial practice seminars sponsored by the New York State Bar Association and Trial Lawyers Association, and has lectured on alternative dispute resolution in the federal courts.  His articles regarding securities arbitration have been printed by the Practicing Law Institute and the Association of the Bar of the City of New York. 

Mr. Mumford is a member of the Association of the Bar of the City of New York; the Securities Industry Association’s  Compliance and Legal Division; the American Bar Association; as well as the Federal Bar Council, and the New York State Trial Lawyers Association.  He is a former member of the House of Delegates of the New York State Bar Association and past president of the Albany County Bar Association. 

Brian Mumford's contact information is:

Brian F. Mumford PLLC

60 Railroad Place, Suite 202

Saratoga Springs, NY 12866

Tel: 518-584-1991

Fax: 518-584-1962

bmumford@brianmumford.com

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Brian F. Mumford PLLC, Of Counsel

Cahill/Wink LLP

60 Railroad Place, Suite 202

Saratoga Springs, NY 12866

Tel: 518-584-1991

Fax: 518-584-1962

brian.mumford@cahillwink.com

http://www.cahillwink.com