Brandon is a member of Shumaker's Litigation & Disputes Service Line, where he focuses his practice on broker-dealer litigation and arbitration. He regularly defends regulatory investigations in the financial industry before state regulators, the Financial Industry Regulatory Authority (FINRA), and the Securities and Exchange Commission (SEC). Brandon has successfully obtained more than 20 expungements for financial advisors' records in wrongful customer complaints. He represents large financial institutions and stock brokers and also counsels high-net-worth individuals in securities litigation and violations of contractual covenants.
Brandon has experience in matters involving:
- Arbitration before the FINRA
- Restrictive covenants
- Trade secrets
- Commercial litigation
- Employment law
An accomplished rower, Brandon competed as a varsity athlete at Trinity College and continues to compete in various running races, rowing competitions, and Ironman triathlons, completing his first full Ironman in 2017. He also enjoys fly fishing and surfing the waters around Sarasota. Brandon is passionate about the preservation of Sarasota Bay and serves as president of Sarasota Bay Watch.
Education
J.D., University of Florida Levin College of Law, 2015
B.A., History and Political Science, Trinity College, 2012
Professional Associations
- Sarasota Bay Watch, Board President
Honors
- Florida Rising Star by Super Lawyers magazine, 2022-2024
Representative Matters
- 08.03.2022 AdvisorHub – Ex-UBS Broker Wins $2 Million from Big NYC Team Who Poached His Largest Client
- As a trial attorney, argued and won a $1.2 million note reduction in FINRA Arbitration in New York City, NY.
- As a trial attorney, argued and won a $3 million defamation award in FINRA arbitration in Sarasota, FL.
- As a trial attorney, argued and won a U-5 expungement in FINRA arbitration in Orlando, FL.
- As a trial attorney, argued and won two customer claim expungements in FINRA arbitration in Detroit, MI.
- Shumaker Wins Expungement for Advisor
- 10.2018 Fratarcangeli Award – FINRA Office of Dispute Resolution
- Shumaker Attorneys Defeat Half Million Note
- 10.24.2018 AdvisorHub – Fired UBS Broker, a Hunting Show Host, Gets to Keep His Half-Million-Dollar Note Balance
- 10.2018 Creekbaum Award – FINRA Office of Dispute Resolution
- Shumaker Wins Defamation Case for Financial Advisor Against Merrill Lynch
- 05.02.2018 AdvisorHub – Merrill to Pay $750,000 for Defaming Broker by Insinuating Insider Trading
- 05.02.2018 Citywire – Merrill to pay ex-offshore broker $750,000 in defamation case
- 05.02.2018 Financial Advisor IQ – Merrill Lynch to Fork Over Big Payout to Fired FA
- Shumaker Wins Defamation Case for Financial Advisor Against Merrill Lynch
- Shumaker Victory Recognized as One of Largest FINRA Awards Brokers Won from Their Firms
- 04.12.2018 InvestmentNews – Biggest Arb Awards Brokers Won from Their Firms
- Shumaker Attorneys Defeat Merrill Lynch's Attempt to Keep Litigants Out of FINRA Arbitration
- 04.03.2018 AdvisorHub – Merrill Retreats from Battle to Fight Former Executives in Court
- 04.03.2018 wealthmanagement.com – Merrill Lynch Gives Up Fight Against Former Advisors’ Rights to Arbitrate
- 02.08.2018 AdvisorHub – Former Merrill Exec Wins Skirmish Over Losses in His Stock Plan
- Shumaker Attorneys Obtain TRO on Behalf of Morgan Stanley
- 02.06.2018 AdvisorHub – Judge Hands Morgan Stanley Another TRO Win, Hands Off to FINRA
- 01.31.2018 AdvisorHub – Whose Client Is It? Morgan Stanley Argues Both Sides, Former Broker Claims
- 01.24.2018 AdvisorHub – Morgan Stanley Wins Another Restraining Order Against Former Broker
- 01.23.2018 AdvisorHub – Morgan Stanley Disses Former Broker’s Career in New TRO Suit
- Shumaker Broker-Dealer Team Wins $3 Million Defamation Award
- 11.07.2017 On Wall Street – UBS Must Pay Fired Broker $3M Over Defamation Claim
- 11.06.2017 Wealth Management – Stifel Broker Wins $3 Million from UBS for Defamation
- 11.03.2017 Herald Tribune – Broker Wins $3 Million in Defamation Case
- 11.01.2017 Tampa Bay Business Journal – Sarasota Broker Wins $3M Arbitration Award
- 11.01.2017 Business Observer – Broker Wins $3M Defamation Claim Against Firm
- 11.01.2017 Tampa Bay Newswire – Shumaker Broker-Dealer Team Wins $3 Million Defamation Award
- 10.30.2017 SEC Law Blog – UBS Ordered to Pay Florida Broker $3 Million for Defamation
- 10.27.2017 AdvisorHub – UBS Ordered to Pay Florida Broker $3 Million for Defamation
- 10.27.2017 InvestmentNews – UBS Ordered to Pay $3 Million FINRA Fine for Defamation