- 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 (2013-2014)
President's Award - NASD (2002)
• Crisis Management
Documents by this lawyer on Martindale.com
Ten Items to Consider as FINRA’s Consolidated Supervision Rules Take Effect
Peter J. Anderson,Eric A. Arnold,Keith J. Barnett,Bruce M. Bettigole,Patricia A. Gorham, December 12, 2014
On December 1, 2014, the Financial Industry Regulatory Authority’s (FINRA) Consolidated Supervision Rules will take effect. The Consolidated Supervision Rules, which were approved by the U.S. Securities and Exchange Commission (SEC) on December 23, 2013, will replace existing NASD Rules 3010...
FINRA Provides New Carve-Out Provisions to Include in Settlement and Confidentiality Agreements
Peter J. Anderson,Eric A. Arnold,Keith J. Barnett,Bruce M. Bettigole,Patricia A. Gorham, November 8, 2014
Financial Industry Regulatory Authority (FINRA) Member Firms have new language to include in their settlement and confidentiality agreements. On October 9, FINRA released Regulatory Notice (RN) 14-40, warning that firms are prohibited from including any provisions in arbitration settlement...
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