On September 1, 2013, Stephanie L. Brown joined Markun, Zusman, Compton and Freniere in its Boston, MA office. Ms. Brown specializes in securities, corporate and regulatory law. She counsels clients on a range of business and litigation issues, including the formation of brokerage and investment advisory firms, advising on securities placements and providing guidance on regulatory enforcement matters.
Ms. Brown joined LPL Financial in 1989 as General Counsel and Vice President of Compliance. From 1994 to August 2013, Ms. Brown served as Managing Director and General Counsel. She provided legal counsel for LPL, its holding companies and subsidiaries; including: negotiation of all lines of insurance; government relations/public policy; litigation, arbitration and complaint resolution; negotiation/integration of acquisitions; public filings, and oversight of regulatory examinations and investigations.
Prior to joining LPL in 1989, Ms. Brown was an Associate Attorney with the Kelley Drye & Warren law firm in Washington, DC. She specialized in corporate and securities law. Prior to that, she worked for Peabody Lambert & Meyers, concentrating in securities with an emphasis on oil and gas financings.
From 2004 through 2008, Ms. Brown served as a member of FINRA’s National Adjudicatory Council. From 2004 through August 2013 she was a member of FINRA’s National Adjudicatory Council’s Statutory Disqualification Committee, its Independent Broker/Dealer Committees, the SIFMA Private Client Legal Committee, the FSI, and the IRI Government Relations. From 2009 to 2013, she also served as a member representative of the Financial Services Roundtable.
Ms. Brown received a Bachelor of Arts degree, cum laude, from Bryn Mawr College and a Juris Doctorate from the Catholic University of America. She is a member of the Massachusetts and District of Columbia Bars. Ms. Brown serves on the boards of the Boston Ballet, the Boston Philharmonic, Greater Boston Legal Services, Bryn Mawr College, Invest in Others Foundation, and Celebrity Series of Boston
