Brian Rubin is the Washington office leader of Sutherland's Litigation group and the Administrative Partner in charge of the Securities Enforcement and Litigation Team. With more than 20 years of experience in federal securities law, first prosecuting and now defending, Brian represents clients 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. As former NASD (now FINRA) Deputy Chief Counsel of Enforcement and Senior Enforcement Counsel at the SEC, he brings an insider's perspective to defending broker-dealers, investment advisers, investment companies, public companies and individuals in examinations, investigations, enforcement proceedings, litigation, arbitrations and in counseling.
Recently, Brian represented firms and individuals on matters involving REITs, variable annuities, variable life insurance, mutual funds, advertising, email retention and surveillance, advisory accounts, insider trading, trade reporting, markups/markdowns, registration, privacy and supervision. He regularly litigates against regulators and claimants, counsels clients on regulatory and compliance matters, and conducts internal investigations.
Defeated the SEC in a trial on behalf of an independent broker-dealer and its president in an enforcement action relating to the supervision of the sale of mutual funds.
Convinced the SEC, FINRA, a state securities commission and the U.S. House of Representatives Committee on Education and Labor to close investigations into a broker-dealer and insurance company's revenue sharing and marketing payments.
Conducted an internal investigation of a privately held company following the noisy withdrawal of its general counsel, who made allegations about the company and its chairman to the SEC and FINRA.
Awards and Rankings
Named to The Best Lawyers in America in the areas of securities law (2008-2011), litigation - securities (2012-2016) and securities regulation (2012-2016) and selected for inclusion in Washington, D.C., Super Lawyers in the area of securities litigation (2012-2016)
Recipient, 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 (2011)
Recipient, 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 (2006)
fellow, Litigation Counsel of America
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