Brian L. Finnell, J.D.
Deputy Director, Assistant Counsel- Civil Alternative Dispute Resolution at Circuit Court for Baltimore City - Courthouse East- Claim this Profile
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Bio
Credentials
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Certificate of Completion
The Anti-Money Laundering (AML) Training Academy, New York, NY -
Series 6
FINRA (Financial Industry Regulatory Authority) -
Series 66
FINRA (Financial Industry Regulatory Authority) -
Series 7
FINRA (Financial Industry Regulatory Authority)
Experience
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Circuit Court for Baltimore City - Courthouse East
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United States
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1 - 100 Employee
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Deputy Director, Assistant Counsel- Civil Alternative Dispute Resolution
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Jun 2023 - Present
The Deputy Director assists the Court’s Civil ADR Director in the organization and administration of the Court’s ADR programs, which include mediation, neutral case evaluation and settlement conferences. The Deputy Director manages court file preparation for ADR events, communicates with lawyers, litigants and ADR providers in preparation of ADR events, and generally assists in the facilitation of the Court’s ADR programs and related policies. The Deputy Director is responsible for collection and management of data and evaluative feedback from ADR Program participants and providers. The Deputy Director will observe and may have the opportunity to conduct certain forms of ADR in non-domestic civil litigation cases pending in this Court. Show less
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Maryland Department of Assessments and Taxation
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United States
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Government Administration
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1 - 100 Employee
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Charter Specialist II
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Mar 2022 - Jun 2023
Review corporation and other business entity documents for legal sufficiency, pursuant to Maryland laws and regulations and accept or reject filed documents, providing detailed instructions to correct deficiencies. Entities whose documents are reviewed: corporations, limited partnerships, limited liability companies, limited liability partnerships, limited liability limited partnerships, Real Estate Investment Trusts and Business Trusts and Ground Rent Redemptions. Advise and counsel officers and directors of possible or existing business entities, their attorneys or representatives as to the proper procedures to be followed by those entities to obtain or maintain good standing with the State of Maryland or to accomplish a certain transaction or to file personal property returns. As an expert in the functions of the Department, communicates on a daily basis with the general public, members of the bar, the courts and other agencies to inform, instruct and advise them with respect to agency operations. Directs and supervises Departmental staff, including Paralegals and clerical staff in the daily processing of documents and related forms filed with the Department and in the preparation of correspondence explaining advising or instructing those who have or are about to submit such documents or forms for filing. Provides technical assistance on legal issues to professional, administrative and clerical employees of other Departments of the Business and Finance Division. Make appropriate referrals to other agencies or resources for those requesting further information on starting and operating a business. Makes recommendations to Chief Legal Review Officer concerning new or revised legislation. Problem-solves on difficult filings and transactions. Continually researches and interprets Maryland statutes, case law and regulations to maintain a high level of expertise and competence in those areas which are the responsibilities of the Department. Show less
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The Center for Strategic Management
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Greater Atlanta Area
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Chief Financial Officer
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Jan 2017 - Jun 2022
Oversee infrastructure management, operational responsibilities and administration of the organization Manage financial risks of the corporation and assist Chief Executive Officer on all strategic matters as they relate to budgeting, cost-benefit analysis and the securing new funding Forecasting financial models, financial planning and record-keeping On-site program evaluations of elementary and secondary school programs to determine if they meet objectives for programs funded by the No Child Left Behind Act On-site program evaluations of STEM programs for Black women undergraduate college students who are underrepresented in STEM disciplines On-site evaluation of academic programs at postsecondary institutions, which require reviews of documents, as well as interviews and focus groups with faculty, staff and students Compliance review of postsecondary institutions to ensure that the institution's strategic goals and objectives are aligned with State higher education regulations to ensure the safety and health of students and of all persons upon the premises of the institution Facilitate diversity training and inclusion workshops for organizations Analyze relevant data to create and sustain corporate value Oversee research grants, speaking engagements and workshops Contribute and co-author research studies and literary works Show less
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FINRA
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United States
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Financial Services
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700 & Above Employee
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Associate Principal Analyst
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Apr 2007 - Apr 2018
Conduct research on broker-dealer firms and Investment Advisors using the Central Registration Depository (CRD) and Department computer systems Provide support for District Office staff for on-site examinations Provide comprehensive analysis of complex financial instruments including, but not limited to, mutual funds, variable insurance contracts, closed-end funds, structured investments and private placements Review firms' advertisements and other communications for compliance with FINRA, SEC, MSRB and SIPC rules Provide firms with regulatory guidance through written review letters through the Department's filings review program Investigate complaints related to advertisements and other communications Conduct spot checks (sweeps) of firms' communications and provide support to Investigations group Provide analyses of communications obtained by Member Regulation and Enforcement staff during examinations and investigations Provide support and correspondence, when necessary, to SEC and FINRA District office staff Participate in FINRA's Fall Advertising Regulation Conference through interactive panel discussions and office hours Participate regularly in FINRA's volunteer initiatives, specifically, conduct financial literacy programs for elementary and middle schools through the Junior Achievement national program Show less
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Grand Slam III
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Indianapolis, Indiana Area
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Research Associate
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Feb 2006 - Feb 2010
Develop new strategies and methods for existing business clients Provide research, legal writing and analysis of product licensing and merchandising business Assist in client meetings and provide ongoing support in the areas of professional athlete contract negotiation, representation and financial planning Lead business consulting efforts on behalf of entrepreneurs and non-profit organizations Ensure best practices for compliance with NFL, NBA, MLB, NHL and NASCAR intellectual property guidelines Show less
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Finnell Worldwide Financial, Inc.
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Washington D.C. Metro Area
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President/Broker
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Jan 2003 - Mar 2007
Provide guidance and investment options for individuals and companies Conduct financial literacy and educational seminars for potential clients, community and civic groups, trade associations and business leaders Oversee investments, identify and keep clients abreast of new market trends and make changes, if necessary, to help the individual or organization maximize its investment(s) Create consolidated financial reports to compliment retirement projections Manage investment portfolios for moderate to high net-worth clients Assist in individual and family wealth and estate planning strategies Sell products i.e. stocks, bonds, mutual funds and insurance products Show less
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American Express Financial Advisors
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Financial Services
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1 - 100 Employee
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Financial Advisor
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Mar 1999 - Jan 2003
Develop comprehensive financial planning with clients focusing on accomplishing the client's long-term objectives Analyze data (client's investments and insurance options) Propose solutions/strategies to address client's needs, resource gaps Conduct regular marketplace research and apply appropriate recommendations Liaise with providers and other appropriate fiduciaries Develop comprehensive financial planning with clients focusing on accomplishing the client's long-term objectives Analyze data (client's investments and insurance options) Propose solutions/strategies to address client's needs, resource gaps Conduct regular marketplace research and apply appropriate recommendations Liaise with providers and other appropriate fiduciaries
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Education
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2009 - 2013
Taft Law School
Juris Doctor, Law -
1988 - 1992
Cheyney University of Pennsylvania
Bachelor's degree, Business Administration and Management, General
Community
