Pat Brake Jr.

Associate

Patrick E. Brake Jr. is an associate in the firm's broker-dealer and market regulation section. Mr. Brake advises broker-dealers on compliance with federal securities laws and the rules of the NASD, NYSE and other self-regulatory organizations. Mr. Brake's practice covers all aspects of broker-dealer regulation, with a focus on market making, institutional sales and trading, NYSE and NASD equity audit trail systems and trade reporting. Mr. Brake assists broker-dealers in devising compliance programs, drafting responses to examinations and handling enforcement actions.

Prior to joining Bracewell & Giuliani LLP, Mr. Brake was general counsel of a U.S. broker-dealer subsidiary of Royal Bank of Canada. Previously, Mr. Brake had served as director of compliance and was once a NASDAQ market maker.

Education

J.D., Seton Hall University School of Law, 2004
B.S., Saint Joseph's University, 1992

Bar Admissions

New York
New Jersey