Brian Coad Email & Phone Number

New York, Ny, Us

New York City, St. Louis, Mo.

General Counsel & Chief Operating Officer for (1) software development company focused on web-based applications driving efficient environmental engineering solutions and (2) mechanical engineering consulting firm providing power and building systems solutions to government, academic and private sectors. Responsible for all legal, regulatory, financing, human resources and administrative matters.

Greater New York City Area

Representing individuals, corporations and board committees dealing with criminal and regulatory matters, including government investigations (DOJ, SEC, CFPB, federal agencies, Attorneys General, grand jury), PCAOB, and state agency investigations. Co-leader, Anti-Corruption (FCPA/AML) group. Conducting internal investigations for clients involving allegations of general fraud, misappropriation, embezzlement, corruption, insider trading, money laundering, FCPA violations, securities law… Show more Representing individuals, corporations and board committees dealing with criminal and regulatory matters, including government investigations (DOJ, SEC, CFPB, federal agencies, Attorneys General, grand jury), PCAOB, and state agency investigations. Co-leader, Anti-Corruption (FCPA/AML) group. Conducting internal investigations for clients involving allegations of general fraud, misappropriation, embezzlement, corruption, insider trading, money laundering, FCPA violations, securities law violations, abusive sales and marketing practices, and whistleblower allegations. Counseling clients on AML/Sanctions and FCPA/OFAC compliance and enforcement issues. Show less

New York City

As Assistant General Counsel, Managing Director, and Head of the legal department’s Regulatory Enforcement and Investigations Unit, advised senior management on the nature, course and implications for reputational, regulatory and litigation risks arising from significant government (external) and internal investigations. Personally supervised in-house and outside counsel in connection with such investigations and developed cost-conscious mitigation and resolution strategies.•… Show more As Assistant General Counsel, Managing Director, and Head of the legal department’s Regulatory Enforcement and Investigations Unit, advised senior management on the nature, course and implications for reputational, regulatory and litigation risks arising from significant government (external) and internal investigations. Personally supervised in-house and outside counsel in connection with such investigations and developed cost-conscious mitigation and resolution strategies.• Managed internal corporate investigation response to an intense and continuing stream of significant regulatory, oversight and criminal inquiries and investigations.• Conducted and supervised internally-generated investigations. • Expeditiously determined scope and magnitude of problems and issues and recommended next steps.• Represented witnesses before government agencies and self-regulatory organizations, including SEC, DOJ, Attorneys General, Federal Reserve, OCC, Grand Juries, FINRA, NFA.• Supervised in-house legal team responsible for analyzing and responding to all government subpoenas and information requests.• Advised on Bank Holding Company Act and nonbank subsidiaries issues• Prepared presentations to audit and risk committees of the board of directors.• Developed risk mitigation programs with chief risk and compliance officers.• Managed outside legal counsel and forensics firms. • Managed legal spend and negotiated favorable fee and compensation structures. • Coordinated media strategies and statements relating to government investigations.• Provided solutions and legal guidance to corporate Shared Services sectors, including Compliance, Risk, Ethics Office, Human Resources, and Corporate Security. Show less

New York City

As a senior federal prosecutor, investigated, supervised and tried hundreds of cases and held supervisory positions, including Senior Trial Counsel in the Securities and Commodities Fraud Task Force, Major Crimes Unit, Deputy Chief of Narcotics, and Violent Gangs Unit. Lead prosecutor in major investigations, trials and appeals in the following areas:• Securities and Commodities Fraud • Insider Trading • Foreign Corrupt Practices Act • Money Laundering and Bank… Show more As a senior federal prosecutor, investigated, supervised and tried hundreds of cases and held supervisory positions, including Senior Trial Counsel in the Securities and Commodities Fraud Task Force, Major Crimes Unit, Deputy Chief of Narcotics, and Violent Gangs Unit. Lead prosecutor in major investigations, trials and appeals in the following areas:• Securities and Commodities Fraud • Insider Trading • Foreign Corrupt Practices Act • Money Laundering and Bank Secrecy Act • Financial Institutions Fraud • Tax and Accounting Fraud• ERISA violations• Healthcare Fraud• Government Contracting Fraud• Food and Drug Act violations• Labor Racketeering• Racketeering Influenced and Corrupt Organizations (RICO)• Mail and Wire Fraud--Mr. Coad Successfully conducted over 25 jury trials and argued 26 federal appeals. --United States Attorney General (Michael B. Mukasey) awarded Mr. Coad the New York Executive Board Award specifically recognizing Mr. Coad's abilities in successfully investigating and prosecuting at trial a multi-state, multi-defendant criminal RICO organization engaged in international weapons and narcotics crimes. --Mr. Coad has received numerous awards and commendations, recognizing his superior performance, from the Department of Justice, Federal Bureau of Investigation, Secret Service, IRS, Department of Labor, the Food and Drug Administration (FDA) , DEA, and the Federal Executive Council. --Mr. Coad has been a frequent guest lecturer on criminal law topics, undercover operations and trial practice techniques at seminars held by the U.S. Department of Justice and at the FBI Academy in Quanitco, VA. He has also been a lecturer on white collar crime issues at the Practicing Law Institute and in other forums. Show less

J.D., Law

Activities and Societies: Cum Laude; Law Review

B.A., English And Urban Studies

Activities and Societies: Phi Beta Kappa; Theta Delta Chi; William & Mary Theatre; junior year at Exeter University, England

High School Diploma

Activities and Societies: Jr. Billiken Track, Football, Dauphin Players