Brian Rubin

About Brian Rubin

As the co-head of the firm’s Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities enforcement practice, I represent clients being examined, investigated and prosecuted by the SEC, FINRA, other self-regulatory organizations and states. I bring an insider’s perspective to defending broker-dealers, investment advisers, investment companies, public companies, asset managers and individuals in examinations, investigations, enforcement proceedings, litigation, arbitrations and in counseling because I was previously NASD (now FINRA) Deputy Chief Counsel of Enforcement and Senior Enforcement Counsel at the SEC.

Experience

1. Partner

   Eversheds Sutherland

   Sep 2003 — Present

   Litigation Partner in Washington office of Eversheds Sutherland, co-head of firm\'s Securities Enforcement Team, and Partner Chair of the firm\'s US Pro Bono Committee* Represents broker-dealers, investment advisers, investment companies, public companies and individuals being examined, investigated and prosecuted by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), other self-regulatory organizations and states * Defends securities clients in litigation and arbitration* Counsels clients on securities regulatory and compliance matters* Conducts internal investigations.

Education

• The Wharton School

  BS, Economics

  1980 — 1984

• Duke University School of Law

  JD

  1984 — 1987

• Duke University

  MA, Economics

  1984 — 1987

Skills

• Arbitration
• Litigation
• Privacy Law
• Civil Litigation
• Sec
• Securities Law
• Finra
• Securities Litigation
• U.s. Securities and Exchange Commission (Sec)
• Compliance
• Internal Investigations
• Securities Regulation
• Securities
• Broker-Dealer
• Enforcement
• Investment Advisory
• Due Diligence
• Licensing
• Corporate Governance
• White Collar Criminal Defense