BRG expanded its Financial Institution Advisory practice with the addition of Managing Directors Conway Dodge and Michael Sullivan and Director Richard Patterson. All three are based in Washington, D.C., and join BRG’s dedicated Markets Compliance group.
The team advises broker-dealers, investment advisers, swap dealers, and other financial institutions primarily regulated by the U.S. Securities and Exchange Commission, U.S. Commodity Futures Trading Commission, Financial Industry Regulatory Authority, and National Futures Association.
BRG said the additions strengthen its ability to help clients navigate increasingly complex regulatory and compliance requirements across securities and financial markets.
Dodge brings more than 30 years of experience spanning law, regulation, enforcement, and compliance.
He spent more than a decade in the SEC’s Division of Enforcement before moving into senior advisory roles working with financial institutions and digital asset companies.
His experience includes SEC and FINRA examinations, enforcement matters, and the design and evaluation of compliance programs.
Dodge earned his J.D. from Northeastern University School of Law and his B.A. from the College of the Holy Cross.
Sullivan brings nearly 30 years of government and private-sector experience across federal securities enforcement, SEC legal policy work, and compliance consulting.
Before joining BRG, he was a Partner at KPMG and a Managing Director at Promontory Financial Group, part of IBM Consulting.
Earlier in his career, Sullivan served as an attorney in the SEC’s Division of Enforcement and also worked at the Public Company Accounting Oversight Board.
He earned a J.D./M.B.A. from Northeastern University and a B.A. from Villanova University.
Patterson brings more than 14 years of experience advising financial institutions and emerging companies on complex risk and compliance matters.
A former FINRA investigator and compliance attorney, his work focuses on designing and implementing compliance programs covering supervision, licensing and registration, conflicts of interest, information security, data protection, and privacy.
Patterson earned his J.D. from American University Washington College of Law and his B.A. from Boston College.
BRG said the hires are part of a broader effort to continue expanding its Markets Compliance capabilities.
The firm also plans to add further expertise across asset and wealth management as it builds out the group.
BRG’s Financial Institution Advisory practice supports financial services clients across regulatory, operational, and strategic matters.
The broader firm combines consulting, industry expertise, academic experience, and data capabilities across economics, disputes and investigations, corporate finance, and performance improvement.
KEY QUOTES:
“Markets Compliance is a growing area for BRG as financial institutions navigate increasingly complex regulatory requirements. Michael, Conway and Richard bring legal backgrounds and years of experience across regulatory and consulting roles. They will provide clients with advisers who understand both what regulators expect and how those expectations shape day-to-day realities. BRG will continue to build out this team with asset and wealth management experts to provide industry-leading insights.”
Paul Noring, Managing Director and Leader of BRG’s Financial Institution Advisory Practice
