Brian Rubin, a member of Sutherland's Litigation Practice Group, 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) and states. He also represents securities clients in litigation and arbitration, and counsels them on regulatory and compliance matters. In addition, Brian conducts internal investigations. Recently, he represented firms and individuals on matters involving variable product and mutual fund transactions, advertising, e-mail retention, markups/markdowns, fee-in-lieu of commission accounts, market timing, late trading, 529 Plan sales and supervision. Before joining Sutherland, Brian was Deputy Chief Counsel with the NASD's Enforcement Department, where he managed attorneys and examiners in the Washington, D.C., home office and in the district offices. Brian investigated and prosecuted firms and individuals for violations of federal securities laws and NASD rules, handling all phases of investigations, trial and appellate litigation. In September 2002, he received the prestigious Excellence in Service Award for outstanding commitment and superior performance in support of NASD. He also received the NASD President's Award for outstanding performance and dedicated service. Previously, Brian was Senior Counsel in the SEC's Division of Enforcement, where he investigated and prosecuted violations of federal securities laws. Representative Experience Brian's recent representative experience includes: · Successfully defending a firm and its president in a trial and an appeal brought by the SEC involving Class B share mutual funds. · Trying a precedent-setting case against the SEC regarding Regulation S-P. · Successfully appealing to the SEC a FINRA decision that had found that two registered representatives engaged in illegal private securities transactions. · Successfully representing a broker-dealer and its affiliated insurance company being investigated by the SEC, FINRA and the U.S. House of Representatives Committee on Education and Labor in connection with revenue sharing and marketing payments. After extensive briefings, meetings, testimony and negotiations, Sutherland convinced each entity to close its investigation without action. · Negotiating settlements of fee-in-lieu of commission cases on behalf of two different bank-affiliated broker-dealers, resulting in the successful elimination of charges and significantly reduced sanctions demanded. Some of Brian's significant cases while with the SEC and NASD include: · The $1.4 billion global analyst/investment banker conflicts of interest settlement. · Settlements and litigated actions against firms and analysts for drafting and distributing misleading research reports, including a $15 million fine against one analyst and a $5 million fine against one firm. · Settlements with firms for sales practice and supervisory violations in connection with variable life insurance and variable annuities, including a $20 million fine against one firm. · Global settlements with five firms totaling $8.25 million for failure to preserve e-mails. · Settlement with a firm, portfolio manager and supervisor for the fraudulent sale of a $1 billion mutual fund. · Settlements and litigated actions against firms and individuals for misleading advertisements for mutual funds, variable products, and day-trading strategies. · Insider-trading cases, including one that led to the disgorgement and distribution of $1 million. · Financial fraud cases. Professional Honors and Awards · Named to The Best Lawyers in America in the area of securities law (2008-2012) · Recipient, 2011 Highly Commended Award Winner by the Emerald Literati Network for co-authoring "FINRA's Sanctions in 2009: A Sign of Things to Come?" published in the November 2010 issue of the Journal of Investment Compliance · Recipient, 2006 Burton Award for Legal Achievement for co-authoring "The House That the Regulators Built: An Analysis of Whether Respondents Should Litigate Against NASD," published in the May 2005 issue of BNA's Securities Regulation & Litigation Report Professional and Community Involvement · Member, Board of Advisors, Securities and Exchange Commission Historical Society · Member, 2010 Editorial Advisory Board, Securities Law360 · Member, Editorial Board, Journal of Securities Law, Regulation & Compliance · Member, Editorial Advisory Board, Practical Compliance and Risk Management for the Securities Industry · Member, Editorial Board, Journal of Investment Compliance · Former Member, Board of Directors, Kids Enjoy Exercise Now (K.E.E.N.) Foundation, Inc., a nonprofit organization with branches in the United States and England that provides free recreation opportunities to children with severe and profound disabilities · Former Member, Board of Directors of SEEC Corporation, a nonprofit organization that provides employment, housing, recreational and therapeutic support for adults with developmental disabilities Publications and Speaking Engagements · Author, "Who's Calling the Plays? Liability of BD and RIA Presidents and CEOs in 2011 SEC Actions," Wall Street Lawyer (November 2011) · Co-author, "Ask An Attorney: Enforcement Cooperation," Compliance Reporter (November 3, 2011) · Co-author, "Brokerage CEOs in the Crosshairs," Securities Technology Monitor (August 31, 2011) · Co-author, "Revisiting FINRA's Class Waiver Policy Post-AT&T," Law360 (August 31, 2011) · Co-author, "The Buck Stops . . . Where? Liability of Presidents And Chief Executive Officers in SEC and FINRA Enforcement Actions," Securities Regulation & Law Report (August 8, 2011) · Co-author, "Swinging for the Fences: An Analysis of Whether Broker-Dealers and Registered Representatives Should Litigate Against the SEC or FINRA," The Investment Lawyer (August 2011) · Co-author, "FINRA Enforcement - Analysis and Trends," Practical Compliance & Risk Management for the Securities Industry (May-June 2011) · Co-author, "Does FINRA Accurately Seed Enforcement Issues?," Securities Law360 (May 17, 2011) · Co-author, "Sometimes It Pays for Broker-Dealers and Registered Reps to Take on Regulators, Study Shows," Wall Street Lawyer (April 2011) · Co-author, "Supervising Reps' Outside Activities," Compliance Reporter (February 7, 2011) · Co-author, "While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers (Again)," Practical Compliance & Risk Management for the Securities Industry (January-February 2011) · Co-author, "FINRA's Sanctions in 2009: A Sign of Things to Come?" 11 Journal of Investment Compliance 4 (November 2010) · Co-author, "FINRA Restricts Internal Use Only Rules Through Enforcement Actions," Market Solutions, Financial Markets Association (October 2010) · Co-author, "While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers," Practical Compliance & Risk Management for the Securities Industry (September-October 2010) · Co-author, "Annual Review of FINRA Sanctions Finds Disciplinary Slowdown Began to Reverse in 2009," Wall Street Lawyer, Copyright © 2010 Thomson Reuters (August 2010) · Co-author, "Should Broker-Dealers Self Report?" Securities Law360 (May 19, 2010) · Co-author, "The Evolution Of FINRA E-Mail Disciplinary Cases," Law360 (April 19, 2010) · Co-author, "FINRA's Take On Internal Communications," Securities Law360 (February 18, 2010) · Co-author, "FINRA 2008: An Oscar Winning Year?" Securities Regulation Law Journal (Fall 2009) · Co-author, "Litigating Disciplinary Proceedings Against the SEC and FINRA: It Sometimes Pays," Journal of Investment Compliance (2009) · Co-author, "Post-Madoff: What to Expect from the Regulators," On Wall Street (May 1, 2009) · Co-author, "Here Comes the Sun[dstrand]: The 'Good Faith' Defense in Securities Fraud Cases," Securities Litigation Report (February 2009) · Co-author, "What It Takes To Receive Credit from FINRA for Extraordinary Cooperation," Wall Street Lawyer (February 2009) · Co-author, "For The New Year, Proposed Resolutions For FINRA," Investment News (January 11, 2009) · Commented, "FINRA Fines, Actions Sped Up In 2009: Report," Law360 (July 2010) · Speaker, The Ascendant Compliance Conference (March 5-7, 2012) · Speaker, "Risk: How to Serve the Growing Needs of Clients and Advisors While Managing Organizational Risk," One Voice 2012: FSI Broker-Dealer Conference (January 23-25, 2012) · Speaker, Webinar: Credit for Extraordinary Cooperation and Good Behavior? Dealing with Enforcement When a Sanction Looms (December 7, 2011) · Speaker, "Balancing the Job of CEO and CCO," NAIBD 2011 Fall Symposium (November 14, 2011) · Moderator, "OCIE in the Post-Madoff Environment: Examiners With Attitude," The Sixth Annual National Institute on Securities Fraud (November 3-4, 2011) · Speaker, Atlanta Broker-Dealer/Investment Adviser Compliance Roundtable Meeting (October 26, 2011) · Speaker, "Compliance Innovation to Manage Risk," Pittsburgh Financial Services Symposium (October 14, 2011) · Speaker, Seventh Annual Advanced ALI-ABA Course of Study: "The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation" (September 23, 2011) · Panelist, "CCO Liability," ACA Compliance Group Fall 2011 Compliance Conference (September 12-14, 2011) · Speaker, FSI Webinar: "Liability of Compliance and Legal Officers: Who's Minding the Store?" (July 18, 2011) · Speaker, Webinar: "CLO/CCO Liability as Supervisors" (July 7, 2011) · Moderator, "State and Federal Examination Update and Best Practices," IRI 2011 Government, Legal & Regulatory Conference (June 28, 2011) · Speaker, "State and Federal Examination Updates and Best Practices," Insured Retirement Institute (June 26-28, 2011) · Speaker, "CLO/CCO Liability as Supervisors" Seminar (June 10, 2011) · Speaker, "Getting the Jump on Sweeping Changes to FINRA's Complaint and Violation Reporting Rules" and "FINRA Examination Priorities," National Regulatory Services (NRS) Education 26th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference (May 16-19, 2011) · Speaker, "Legal Quick Hit: General Counsel and Chief Compliance Officer Supervisory Liability," Association of Corporate Counsel Financial Services Committee's Monthly Call (April 27, 2011) · Speaker, "General Counsel and Compliance Officer Liability," Tampa Bay Broker-Dealer Compliance Group Meeting (April 26, 2011) · Speaker, Sutherland Securities Symposium (April 12, 2011) · Speaker, "Surviving the New and Improved SEC Examination Program for 2011," ACA Compliance Group & ACA Insight Spring 2011 Compliance Conference (March 2-4, 2011) · Panelist, "Setting RIA Firms Up For Success in a Fiduciary World," OneVoice 2011: FSI Broker-Dealer Conference (January 31-February 2, 2011) · Speaker, "Transitioning Representatives: Legal and Compliance Issues When Representatives Jump Firms," ALI-ABA The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, Supervision, and Sales Practices Program (October 21-22, 2010) · Panelist, "Regulatory Panel Discussion," NAIBD 2010 Fall Symposium: Providing Business and Development Tools for Independent Broker-Dealers (October 19, 2010) · Panelist, "Data & Information Safeguarding," ACA Compliance Group 2010 Compliance Conference (September 22-24, 2010) · Speaker, "Enforcement and Regulatory Update," Tampa Bay Broker-Dealer Compliance Group Meeting (August 18, 2010) · Speaker, SEC Examinations of Investment Advisers - Are You Ready? Seminar (July 13, 2010) · Panelist, "Setting Your Expectations for the FINRA & SEC Exam Priorities: How Ready Are You?" Complinet Risk & Compliance Forum (June 10, 2010) · Speaker, "Developments in Broker-Dealer Advertising" and "Changing Landscape of Broker-Dealer Branch Office Audits," NRS Annual Spring Conference, Ft. Lauderdale, Florida (April 19-22, 2010) · Speaker, Webinar: "Real Estate Funds and Alternative Investments: Impact of Recent FINRA Developments" (March 25, 2010) · Speaker, ACA Compliance Group Webinar: "Privacy Safeguards" (February 18, 2010) · Speaker, "A Look into the 2010 Regulatory Environment," Financial Planning Association (December 3, 2009) · Speaker, Webinar: "Insider Trading and Informational Barriers" (November 17, 2009) · Speaker, "Compliance & Regulation: Do YOU comply?" Financial Behavior in Retirement Summit (November 16, 2009) Industries Financial Services Retirement Products and Services News Experience of Former Regulators Provides Edge for Advising Firms
January 6, 2012 Bloomberg News FINRA says broker fines jumped 53 percent
December 19, 2011 More on that Message to RIAs: 'Evaluate' Our Compliance Programs
December 12, 2011 IA Week Chicago B/D Settles Reporting Case
November 3, 2011 Swinging for the Fences: An Analysis of Whether Broker-Dealers and Registered Representatives Should Litigate Against the SEC or FINRA
September 8, 2011 Revisiting FINRA's Class Waiver Policy Post-AT&T
September 6, 2011 Brokerage CEOs in the Crosshairs
September 1, 2011 President/CEO Liability in SEC and FINRA Disciplinary Proceedings
August 10, 2011 Are FINRA's Examination Priorities Letters Good Predictors of Enforcement Actions?
May 19, 2011 FINRA Continues to Focus on Instant Messages; Will Social Media be Next?
May 12, 2011 Sutherland Attorneys Receive Top Accolades for Article on FINRA Sanctions
April 20, 2011 Firms Need to Thoroughly Review Documents Given to FINRA
April 18, 2011 Annual Sutherland Study Shows that Litigating Against the SEC and FINRA Pays for Some Broker-Dealers and Registered Representatives
March 16, 2011 Annual Sutherland FINRA Sanction Study Shows Enforcement Actions on the Rise
February 28, 2011 COMPLIANCE WATCH: Regulators Eye Brokers' Outside Business
October 22, 2010 The Wall Street Journal Online FINRA Launches New-Style Reviews
October 22, 2010 Compliance Reporter Brian L. Rubin of Sutherland Asbill & Brennan on Whether Broker-Dealers Should Self Report Problems
August 17, 2010 Posted with permission Copyright©2010 LexisNexis, a division of Reed Elsevier Inc. Visit www.lexisnexis.com/community/corpsec Fines by Wall Street cop on pace to fall this year
July 30, 2010 Reuters A look at FINRA enforcement fines shows costliness of violations
July 19, 2010 BD Week FINRA fines nearly doubled in '09
July 9, 2010 Investment News FINRA Fines, Cases Both Increased In 2009, But Below 2005-2007 Levels
July 9, 2010 BNA Lawyers warn that FINRA is ratcheting up enforcement
July 9, 2010 Complinet FINRA Fines, Actions Sped Up in 2009: Report
July 8, 2010 Reprinted with permission Law 360, http://site.law360.com/ Sutherland Finds FINRA Slowdown Began to Reverse in 2009
July 8, 2010 FINRA 2008: An Oscar Winning Year?
June 3, 2009 Sutherland Annual Study Finds that it Sometimes Pays for Broker-Dealers and Registered Representatives to Litigate Against the SEC and FINRA (formerly NASD)
February 5, 2009 Sutherland Successfully Appeals FINRA Case to the SEC
November 10, 2008 Sutherland Annual Study Finds That It Sometimes Pays to Litigate Against FINRA (Formerly NASD)
May 13, 2008 Sutherland Attorneys Brian L. Rubin and Christian J. Cannon Win Distinguished 2006 Burton Award for Legal Achievement
5/3/2006 Legal Alerts Legal Alert: Summary of Selected Programs from SIFMA Compliance & Legal Division's 2011 Annual Seminar
April 15, 2011 Legal Alert: FINRA Delays Implementation of New Suitability Rules Until July 2012
April 11, 2011 Legal Alert: Sutherland SEC/FINRA Litigation Study Shows It Sometimes Pays to Take on Regulators
March 17, 2011 Legal Alert: Annual Sutherland FINRA Study Shows Enforcement Actions on the Rise
March 1, 2011 Legal Alert: FINRA's All Public Panel Option Is Now Available in All Customer Cases
February 8, 2011 Legal Alert: Significant Changes to FINRA's Know Your Customer and Suitability Rules to Take Effect in 2011
January 3, 2011 Legal Alert: How Georgia's New Restrictive Covenants Laws May Impact Broker-Dealers
November 29, 2010 Legal Alert: New Whistleblower Protections for Financial Service Employees
October 1, 2010 Legal Alert: Impact of Dodd-Frank Wall Street Reform and Consumer Protection Act on Broker-Dealers
August 16, 2010 Legal Alert: The Dodd-Frank Act: A New Era of Financial Regulation and the Implications for the Insurance Industry
August 3, 2010 Legal Alert: Sutherland Issues Annual Review of FINRA Sanctions: Finds FINRA slowdown began to reverse in 2009
July 12, 2010 Legal Alert: FINRA Issues Guidance for Broker-Dealers Participating in Private Offerings
April 29, 2010 Legal Alert: FINRA Proposes to Include More and Older Information on BrokerCheck
February 24, 2010 Legal Alert: Georgia Supreme Court Recognizes a Cause of Action for "Holders" of Securities and Limited Duties in Favor of Non-Discretionary Account Customers
February 9, 2010 Legal Alert: FINRA Restricts Internal Use Only Rules Through Enforcement Actions
January 6, 2010 Legal Alert: Florida Supreme Court Ends Putative Class Action Alleging Numerous Florida Insurance Code Violations
December 1, 2009 Legal Alert: Ninth Circuit Overturns Denial of Class Certification in Action Involving Sale of Annuities to Senior Citizens; Orders Class Certified
August 31, 2009 Legal Alert: Sutherland Finds That FINRA Sanctioned Far Less in 2008 Than in Previous Three Year
June 3, 2009 Legal Alert: Highlights From the 2009 SIFMA Legal and Compliance Annual Seminar
April 3, 2009 Legal Alert: Sutherland to Host Webinar on FINRA Sweep of Sales and Promotion of Non-Traded REITs
March 30, 2009 Legal Alert: Supreme Court to Hear Investment Adviser Fee Case
March 16, 2009 Legal Alert: State Securities Regulators Propose an Agenda for Change, Will Not Take the Financial Crisis Lying Down
February 9, 2009 Legal Alert: Sutherland to Host Webinar on FINRA Sweep of Broker-Dealer Referrals of Investment Advisory Services
January 26, 2009 Legal Alert: State Securities Regulators Discuss Developments and Initiatives
October 2, 2008 Legal Alert: SEC and FASB Provide Clarification on Fair Value Accounting Rules
October 2, 2008 Legal Alert: Warnings About Replacing AIG Policies
September 29, 2008 Legal Alert: Federal Court Orders the Production of Attorney Notes
September 9, 2008 Legal Alert: Changes to DOJ Corporate Charging Guidelines
September 8, 2008 Legal Alert: Sutherland to Host Conference Call on FINRA Sweep Examination of Auction Rate Securities
August 22, 2008 Legal Alert: FINRA Spring Securities Conference
June 23, 2008 Legal Alert: Seventh Circuit Rejects "Reasonableness" as the Standard for Excessive Fee Claims Under Section 36(b) of the 1940 Act
May 30, 2008 Legal Alert: Is There a "Good Faith" Defense to Securities Fraud? Courts, the SEC and FINRA in Conflict
April 29, 2008 Legal Alert: SEC Proposes to Amend Regulation S-P to Require New Client Information Safeguards and Allow Reps to Take Certain Client Information When They Change Broker-Dealer or Investment Adviser Firms
March 5, 2008 Legal Alert: Sutherland to Host Conference Call on FINRA Sweep Examination of Life Settlements
November 13, 2007 Legal Alert: FINRA Fall Securities Conference
October 25, 2007 Legal Alert: Sutherland Study Finds That It Sometimes Pays to Litigate Against FINRA (Formerly NASD)
September 27, 2007 Legal Alert: Sutherland to Host Conference Calls on FINRA Sweep Examination of the Use of Professional Designations Involving Seniors and Retirees
September 12, 2007 Legal Alert: FINRA Conducting a Sweep Examination of Pitches to Retirees and Section 72(t) Withdrawals
August 3, 2007 Legal Alert: Summary of Selected Programs from SIFMA Compliance & Legal Division's 2007 Annual Seminar
April 3, 2007 Legal Alert: Summary of Selected Sessions From The SEC Speaks in 2007
February 27, 2007 Legal Alert: NASD Provides Guidance and Mandates Additional Procedures for Firms' Supervision of Representatives Transferring from Other Firms
February 21, 2007 Legal Alert: Unauthorized Use of CRD® to Conduct Pre-Hire Searches of Registered Persons Results in Several NASD Enforcement Actions
August 11, 2006 Publications Who's Calling the Plays? Liability of BD and RIA Presidents and CEOs in 2011 SEC Actions
November 2011 Wall Street Lawyer Ask An Attorney: Enforcement Cooperation
November 3, 2011 Compliance Reporter The Girl with the SEC/FINRA Tattoo: Disciplinary Actions Taken Against Chief Compliance Officers (November 2010 - June 2011)
September-October 2011 Reprinted with permission Practical Compliance and Risk Management for the Securities Industry Brokerage CEOs in the Crosshairs
August 31, 2011 Reprinted with permission Securities Technology Monitor Swinging for the Fences: An Analysis of Whether Broker-Dealers and Registered Representatives Should Litigate Against the SEC or FINRA
August 2011 Reprinted with permission The Investment Lawyer The Buck Stops...Where? Liability of Presidents And Chief Executive Officers in SEC and FINRA Enforcement Actions
August 8, 2011 Reprinted with permission Securities Regulation & Law Report FINRA Enforcement - Analysis and Trends
May-June 2011 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry Does FINRA Accurately Seed Enforcement Issues?
May 17, 2011 Reprinted with permission Securities Law360, http://www.law360.com Sometimes It Pays for Broker-Dealers and Registered Reps to Take on Regulators, Study Shows
April 2011 Reprinted with permission Wall Street Lawyer Supervising Reps' Outside Activities
February 7, 2011 Reprinted with permission of Compliance Reporter While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers (Again)
January-February 2011 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry FINRA's Sanctions in 2009: A Sign of Things to Come?
November 2010 Journal of Investment Compliance FINRA Restricts Internal Use Only Rules Through Enforcement Actions
October 2010 Reprinted with permission Market Solutions, a publication of the Financial Markets Association While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers
October 2010 Reprinted with permission Practical Compliance & Risk Management for the Securities Industry Annual Review of FINRA Sanctions Finds Disciplinary Slowdown Began to Reverse in 2009
August 2010 Reprinted with permission Wall Street Lawyer. Copyright © 2010 Thomson Reuters Should Broker-Dealers Self Report?
May 19, 2010 Reprinted with Permission Securities Law360, http://www.law360.com// The Evolution Of FINRA E-Mail Disciplinary Cases
April 19, 2010 Reprinted with permission Law360, http://www.law360.com FINRA's Take On Internal Communications
February 18, 2010 Reprinted with permission Securities Law360, http://www.law360.com FINRA 2008: An Oscar Winning Year?
Fall 2009 Reprinted with permission Securities Regulation Law Journal Litigating Disciplinary Charges Against the SEC and FINRA: It Sometimes Pays
April 2009 Reprinted with permission Journal of Investment Compliance What It Takes To Receive Credit from FINRA for Extraordinary Cooperation
February 2009 February 2009 Reprinted from the Wall Street Lawyer. Copyright © 2009 Thomson Reuters. For more information about this publication please visit www.west.thomson.com. Here Comes the Sun[dstrand]: The "Good Faith" Defense in Securities Fraud Cases
February 2009 Reprinted from the Securities Litigation Report. Copyright © 2009 Thomson Reuters. For more information about this publication please visit www.west.thomson.com. 'Without admitting or denying' - and then what?
December 28, 2008 Reprinted with permission FSI Voice Still Blinded by Sundstrand: The Applicability of the "Good Faith" Defense in Securities Fraud Cases
December 23, 2008 Reprinted with permission The Judicial View Getting credit from FINRA for extraordinary cooperation: what does it all mean?
December 17, 2008 Reprinted with permission Complinet Money: Investment Scams and What Firms May Be Able To Do About Them
September/October 2008 Reprinted with Permission Practical Compliance & Risk Management for the Securities Industry Sometimes It Pays to Litigate Against FINRA, Study Says
June 2008 Wall Street Lawyer It Sometimes Pays to Litigate Against FINRA
May 2008 Reprinted with permission InSights: The Corporate & Securities Law Advisor Blinded By Sundstrand: The 'Good Faith' Defense
April 28, 2008 Reprinted with permission Securities Law360 Study Finds That It Sometimes Pays to Litigate Against FINRA
November 2007 Reprinted with permission Securities Litigation Reporter What's In A Name? Enforcement Trends and Possible Implications for FINRA
October 3, 2007 Reprinted with permission The Review of Securities & Commodities Regulation In Focus: FINRA's Sweep Targets Professional Designations Involving Seniors
September 19, 2007 Reprinted with permission Complinet Tips for the Newlywed Regulators
March 12, 2007 Reprinted with permission, The National Law Journal How To Succeed at Settling SEC and NASD Enforcement Actions
December 2006 Reprinted with permission, Insights Magazine Practical pointers for regulatory examinations
August 21, 2006 Reprinted with permission, Investment News The House That the Regulators Built (Revisited): An Analysis of Whether Respondents Should Litigate Against NASD
Authors Brian Rubin and Christian Cannon revisit NASD sanctions survey originally published one year ago.
Rubin and Cannon won the distinguished 2006 Burton Award for Legal Achievement for the article.
May 8, 2006 Reproduced with permission from Securities Regulation & Law Report, Vol. 38, No. 19, pp. 810-817 (May 8, 2006). Copyright 2006 by The Bureau of National Affairs, Inc. (800-372-1033) www.bna.com Inadvertent Production of Privileged Documents: Avoiding Or Addressing The Problem
April 24, 2006 Reprinted with permission, Compliance Reporter Unless They Make You an Offer You Can't Refuse: Litigating Against NASD and the NYSE
Sutherland attorneys Brian Rubin and Christian Cannon recently published an article that explores the nuances of litigating against NASD and the NYSE so that potential Respondents can better understand the process. Insights include suggestions on how to handle regulatory investigations and how to negotiate with regulatory staff. The article further discusses the advantages and disadvantages of settling and outlines the steps that follow when litigation is pursued.
January 2006 Reprinted with permission, Wall Street Lawyer Cooperation, Only More So: What it Takes To Receive Credit for Cooperating With NASD
October 24, 2005 Reprinted with permission, Securities Regulation & Law Report Co-author, "Post-Madoff: What to Expect from the Regulators," On Wall Street (May 1, 2009) Co-author, "For the New Year, Proposed Resolutions for FINRA,"Investment News (January 11, 2009) Co-author, "Sometimes It Pays to Litigate Against FINRA, Study Says," Wall Street Lawyer (June 2008) Co-author, "Practical Pointers for Regulatory Examinations," Investment News (August 21, 2006) Co-author, "Handling SEC/SRO Investigations," Broker-Dealer Regulation (2005) Events Sutherland Securities Symposium
February 2, 2012 One Voice 2012: FSI Broker-Dealer Conference
January 23-25, 2012 Webinar: Credit for Extraordinary Cooperation and Good Behavior? Dealing with Enforcement When a Sanction Looms
December 7, 2011 NAIBD 2011 Fall Symposium
November 14, 2011 Sixth Annual National Institute on Securities Fraud
November 3-4, 2011 Broker-Dealer/Investment Adviser Compliance Roundtable
October 26, 2011 2011 Pittsburgh Financial Services Symposium
October 14, 2011 The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation
September 23, 2011 Webinar: Who's Minding The Store? Liability of Compliance & Legal Officers
July 18, 2011 CLO/CCO Liability as Supervisors - Webinar
July 7, 2011 Insured Retirement Institute
June 26-28, 2011 CLO/CCO Liability as Supervisors
June 10, 2011 NRS Education 26th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference
May 16-19, 2011 Association of Corporate Counsel Financial Services Committee's Monthly Call
April 27, 2011 Tampa Bay Broker-Dealer Compliance Group Meeting
April 26, 2011 ACA Compliance Group & ACA Insight Spring 2011 Compliance Conference
March 4, 2011 OneVoice 2011: FSI Broker-Dealer Conference
January 31-February 2, 2011 ALI-ABA The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, Supervision, and Sales Practices
October 21-22, 2010 NAIBD 2010 Fall Symposium: Providing Business and Development Tools for Independent Broker-Dealers
October 19, 2010 ACA Compliance Group 2010 Compliance Conference
September 22-24, 2010 Tampa Bay Broker-Dealer Compliance Group Meeting
August 18, 2010 SEC Examinations of Investment Advisers - Are You Ready? Seminar
July 13, 2010 Complinet's Risk & Compliance Forum: A Changing Landscape: Building a Roadmap for Broker-Dealers
June 10, 2010 NRS Education's 25th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference
April 21-22, 2010 Webinar - Real Estate Funds and Alternative Investments: Impact of Recent FINRA Developments
March 25, 2010 Webinar: Privacy Safeguards
February 18, 2010 Financial Planning Association
December 3, 2009 Insider Trading and Informational Barriers
November 17, 2009 Financial Behavior in Retirement Summit
November 16, 2009 Woodbury Financial's 11th Annual Sales Conference
August 6, 2009 Woodbury Financial's 11th Annual Sales Conference
August 6, 2009 A New Foundation: The Obama Regulatory Plan
June 24, 2009 Webinar: New Trends in Regulatory Exams and Best Practices for Dealing With Regulators
June 9, 2009 National Regulatory Services (NRS) Annual Spring Compliance Conference
April 26-29, 2009 ACA Spring 2009 Compliance Conference
April 22-24, 2009 Sutherland Securities Symposium
April 21, 2009 Bridging the Gap: How to Implement Compliance Theory into Business Practice
March 18-20, 2009 Webinar: FINRA Sweep of Broker-Dealer Referrals of Investment Advisory Services
January 29, 2009 OneVoice 2009: FSI Broker-Dealer Conference
January 28-30, 2009 Webinar - Rule 3110: Opening Gates for Optimum Corporate Performance
January 27, 2009 Investment Adviser Roundtable: 2009 Industry and Regulatory Outlook
January 14, 2009 Webinar: NASD 3110: Opening Gates for Optimal Corporate Performance
January 6, 2009 Webinar: Understanding Regulation S-P: Privacy of Consumer Financial Information
November 19, 2008 Financial Behavior in Retirement
November 13-14, 2008 Sutherland Securities Symposium
October 30, 2008 FINRA/SEC Compliance and Enforcement: The Changing Broker-Dealer and Adviser Regulatory Landscape - Staying Ahead of the Curve
September 18-19, 2008 Fundamentals of Broker-Dealer Compliance
September 16, 2008 ACA's Fall 2008 Compliance Conference
September 8-10, 2008 FINRA Sweep Examination of Auction Rate Securities Conference Call
August 28, 2008 Special Conference Call on ARS Sweep
August 27, 2008 Sutherland Securities Symposium
July 31, 2008 Atlanta Bar Association, Litigation Section, Securities and Corporation Litigation Subsection Meeting
May 1, 2008 Independent Broker-Dealer Regulatory Forum
April 16, 2008 IQPC Third Annual Securities Litigation Conference
November 14-16, 2007 NAVA 2007 Compliance and Regulatory Affairs Conference
June 24-26, 2007 FSI Web Conference
June 20, 2007 Third Annual Advanced ALI-ABA Course of Study
June 1, 2007 Securities and Insurance Licensing Association
May 18, 2007 IQPC Second Annual Securities Litigation Conference
May 17, 2007 National Regulatory Services, Center for Compliance Professionals, Investment Adviser Compliance Certificate Program
February 15, 2007 13th Annual Advanced ALI-ABA Course of Study, Investment Adviser Regulation
January 26, 2007 IQPC Securities Litigation Conference
November 2006 National Planning Holdings Annual Legal and Compliance Meeting
November 2006 NASD Office of Hearing Officers Conference
October 2006 ALI-ABA Course of Study, SEC/NASD Compliance
June 16, 2006 The Financial Services Institute's 2006 Broker-Dealer Conference
January 23-25, 2006 NASD Institute for Professional Development
December 2005 Sutherland Asbill & Brennan's CCO Roundtable
December 2005 ACI, Broker/Dealer Enforcement Actions
October 2005 SIA Compliance and Legal Division: Chicago Regional Seminar
June 2005 NASD Institute for Professional Development
May 2005 |