William Brian Kimme

Current

Assistant Director at FINRA

Past

Staff Attorney/Senior Attorney at NASD
Attorney at K & L
Faculty at East Central College

see less...

Education

Thunderbird School of Global Management
Creighton University
Creighton University

see less...

Connections

14 connections

Industry

Legal Services

Websites

Networking

William Brian Kimme’s Summary

An attorney/MBA with extensive corporate, regulatory, and compliance experience in law firm and in-house settings that encompassed multi-million dollar complex deals on a global scale. Experience counseling management on compliance, governance, securities, board relations, and practical solutions for businesses on domestic and international legal issues, finance, and policy. Acknowledged ability at providing analysis and presentations, and making a positive impression on clients and potential clients.

William Brian Kimme’s Specialties:

Regulatory • Compliance • Corporate • Contracts • Securities • Negotiations • Joint Ventures •
Litigation Management • Acquisitions • Training • Strategic Planning • Dispute Resolution • Tax • Policy Analysis

William Brian Kimme’s Experience

Assistant Director

FINRA

(Legal Services industry)

January 2000 — Present (9 years 7 months)

Leading contributor to FINRA strategic committees and to global ventures. Develop, implement, and manage strategic plans, corporate issues, contract issues, budgets, securities laws issues, and ’40 Act issues. Deliver expert counseling on SEC matters, rules and procedures, and compliance issues. Design program rules, procedures and manuals. Participate in preparation of materials for Board and National Advisory Committee meetings. Provide project management of new business ventures. Provide training to new clients, trade associations, government entities, and internal staff.
Staff Attorney/Senior Attorney

NASD

(Non-Profit; 1001-5000 employees; Financial Services industry)

July 1991 — January 2000 (8 years 7 months)

Ensured top performance of 12 staff focused on administration federal and state securities laws and regulations, and compliance cases. Delivered litigation management services. Counseled arbitrators. Trained arbitrators and supported individual assignments to facilitate the effective settlement of cases. Communicated and ensured compliance with processes, procedures, and regulations. Addressed case administration and legal issues with parties and staff.

Managed budgeting operations for the Regional Office, and Enhanced financial audit accuracy from 70% to 95%, resulting in fee increases and reductions in receivables and write-offs.
Established FINRA's first continuing education programs for arbitrators, serving an instrumental role in later course expansions to all regional offices and Dispute Resolution's website.
Attorney

K & L

(Legal Services industry)

January 1989 — January 1991 (2 years 1 month)

Represented clients in the areas of corporate, insurance, pharmaceutical, health care, banking/mortgage, financing, collections, tax, mergers/acquisitions, international consignment sales, joint ventures, and real estate. Represented local hospital in corporate, board, and administrative matters. General experience with securities, corporate formation, books and records, and representation of public companies. Managed insurance, loan documentation, and real estate closings.

Lead collection matters for local consumer credit agency; achieved $1m in repaid debt without resorting to hearings.
Integral in negotiations and assisted in drafting terms for $1B energy project in China.
Lead negotiations and document drafting for acquisition of a pharmaceutical concern valued at over $25M.
Spearheaded the successful attainment of agreements for a boxboard joint venture, resulting in the closing of a $24M deal.
Lead a successful bond issue for a local government entity, and private placement financing for a redevelopment project.
Responsible for corporate, individual, and not-for-profit tax matters including preparation, filing, research, and IRS negotiations.
Responsible for estate planning and trusts.
Faculty

East Central College

(Educational Institution; 201-500 employees; Higher Education industry)

September 1990 — December 1990 (4 months)

William Brian Kimme’s Education

Thunderbird School of Global Management

Master , Business Administration , 1988
Creighton University

Juris Doctor , 1987
Creighton University

Bachelor of Arts , 1984

Additional Information

William Brian Kimme’s Websites:

Networking

William Brian Kimme’s Interests:

Reading, hiking, biking, golf, youth sports, fastpitch softball, new technology

William Brian Kimme’s Groups:

Association of Corporate Counsel (Co-chair of DELVACCA Chapter’s Corporate and Securities Law Committee, Audit Committee), Missouri Bar, Pennsylvania Bar