- Securities Enforcement & Litigation
- Financial Services Litigation
- Internal Investigations
- White Collar Defense
- Investment Adviser
- Director & Officer Liability
- Class Action Defense
- Financial Services
- Accountants' & Attorneys' Liability
- Alternative Dispute Resolution
- Crisis Management
|Contact Info||Telephone: 202.383.0165|
|University ||Yale University, B.A., cum laude|
|Law School||Columbia Law School, J.D. Harlan Fiske Stone Scholar|
|Admitted||1981, District of Columbia; 1982, New Jersey|
Member, American Bar Association
Member, Securities Industry and Financial Markets Association (SIFMA) Compliance and Legal Society
Bruce Bettigole has more than 30 years' experience as a securities enforcement lawyer and litigator, including 13 years in senior positions on the government/regulatory side. He has been lead trial counsel for the U.S. Securities and Exchange Commission (SEC) as Assistant Chief Litigation Counsel, Chief Counsel for NASD, now known as FINRA, Chief Counsel of NASD's Criminal Prosecution Assistance Group, and Special Assistant United States Attorney for several U.S. Attorney's offices. Bruce relies on his deep experience and insider's knowledge of those agencies to represent clients involved in FINRA, SEC, Public Company Accounting Oversight Board (PCAOB), state securities commissions, and U.S. Department of Justice (DOJ) investigations and litigation, as well as in FINRA arbitrations and private securities class actions.
Bruce provides counsel across a broad spectrum of securities enforcement matters, including allegations of misrepresentations, omissions, accounting fraud, stock manipulation, insider trading, deficient policies and procedures, sales practices, supervision and other key issues. His clients include broker-dealers, investment advisors and their associated persons; major public corporations and their officers, directors and key management personnel; and audit partners at “Big Four” public accounting firms.
Bruce served as Director and Chief Counsel in NASD's Enforcement Department from 2003 to 2004, where he supervised investigations and litigation. He was Chief Counsel of NASD's Criminal Prosecution Assistance Group from its inception in 1998 until 2003, supervising the unit and assisting federal, state, and local prosecutors nationwide in criminal securities-related investigations and prosecutions. From 1991 to 1998, Bruce was Assistant Chief Litigation Counsel with the SEC. He also served as Special Assistant U.S. Attorney in New York, Florida, and Nevada, and was lead trial counsel for numerous securities fraud prosecutions.
Sutherland serves as national counsel for complex product cases.
Sutherland wins partial summary judgment and obtains settlement for former executive of public company in which SEC abandons its fraud claims on the eve of trial.
Sutherland represents a broker-dealer in a FINRA investigation concerning equity-indexed annuities.
Awards and Rankings
Named to The Best Lawyers in America in the areas of administrative/regulatory law, securities regulation and litigation - securities law (2007-2015)
Selected for inclusion in Washington, DC, Super Lawyers (2013-2016)
President's Award - NASD (2002)
Crisis Response & Incident Investigation
Documents by this lawyer on Martindale.com
FINRA's Projected 2015 Fines: Not Keeping Pace With 2014’s Total, But Still a Blockbuster Year
Peter J. Anderson,Eric A. Arnold,Bruce M. Bettigole,Patricia A. Gorham,Olga Greenberg, September 22, 2015
Despite a slowdown in the fines reported in 2015, the Financial Industry Regulatory Authority (FINRA) has continued to flex its enforcement muscle so far this year. During the first half of 2015, FINRA reported $37.5 million in fines in its monthly Disciplinary and Other FINRA Actions publications...
Unclaimed Property Audit Primer for Broker-Dealers
Peter J. Anderson,Eric A. Arnold,Keith J. Barnett,Bruce M. Bettigole,Patricia A. Gorham, April 29, 2015
The same State Treasurers and contingency-fee unclaimed property auditors that focused on the life insurance industry are now turning their attention to broker-dealers. Sutherland has been actively assisting companies with unclaimed property audits and currently represents broker-dealers that have...
Broker-Dealers Face Unique Challenges Under Unclaimed Property Laws, Says New SIFMA White Paper
Peter J. Anderson,Eric A. Arnold,Bruce M. Bettigole,Olga Greenberg,Clifford E. Kirsch, February 13, 2015
On January 23, 2015, the Securities Industry and Financial Markets Association (SIFMA) released a new white paper outlining the unique and varied challenges broker-dealers face when complying with state unclaimed property laws and regulations. The paper, entitled “In Brief: Unclaimed Property...
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