Brad J. Lam, Esq.

Brad J. Lam, Esq. joined Business Law Group in early 2017 after practicing law in Denver Colorado for 25 years. Mr. Lam is a distinguished practitioner of corporate and entity governance, equity and asset purchase transactions, and securities law. Mr. Lam advises clients on change of control transactions including proxy solicitations, board control disputes, and represents parties in change of control civil actions.

Brad represents issuers, purchasers, and sellers in securities transactions, and often represents issuers, sellers, securities brokers and registered representatives in government investigations and civil enforcement actions commenced by the U.S. Securities and Exchange Commission and state regulators.

Brad appears in private civil action matters involving change of entity control including boards of directors and managers, on behalf of issuers, broker-dealers, investors, and others involved in securities and investment dispute actions.
Brad served for 23 years as an arbitrator, commonly chairing three-person panels on matters before FINRA (and its predecessor the NASD) and the NYSE. Mr. Lam has represented contestants as well before FINRA and the National Futures Association.

Practice Focus Areas


Representative Matters and Experience

  • Defended corporate entity in federal district court securities fraud litigation
  • Defended individual and business entity issuers in federal district court securities enforcement litigation
  • Prosecuted claims of securities investors against broker-dealers in arbitration proceedings
  • Prosecuted claims of rancher in commodities trading dispute before the National Futures Association
  • Prosecuted claims of securities investors in limited partnership fraud litigation
  • Prosecuted claims of customers in civil actions against investment advisers
  • Obtained control of issuer in litigated change of control action brought by investor
  • Obtained control of board of directors in hostile proxy solicitation matter
  • Obtained control of management in civil action brought by LLC members
  • Served as issuer’s counsel in public offerings of securities
  • Served as issuer’s counsel in private offerings of securities
  • Served as insurgent’s counsel in Regulation 14A hostile proxy solicitation of public company

Bar Admissions

  • Colorado
  • California
  • Pennsylvania
  • U.S. District Court in Colorado
  • Tenth Circuit Court of Appeals

Education

  • California Western Law School, San Diego, CA, 1985
  • Lafayette College, B.A., Economics, 1980

Relevant Legal Experience

  • United States Securities and Exchange Commission, Enforcement Attorney, Philadelphia District Office
  • California Department of Corporations, Corporations Counsel, Los Angeles Headquarters
  • Home Unity Savings Bank, Cash Manager and Treasury Analyst

Interests

Brad has resided in Colorado for 26 years and enjoys hiking and climbing in the Rocky Mountains, swimming, skating, skiing, horseback riding, playing music and poker with friends. He has two children and is a native of Elkins Park, Pennsylvania.