Rebekah’s previous experience includes serving as a judicial intern for Chris M. McAliley, a federal magistrate judge for the United States District Court for the Southern District of Florida.
Legal Alert: FINRA’s 529 plan share class initiative (February 7, 2019)
On January 28, 2019, the Financial Industry Regulatory Authority, Inc. (FINRA) launched its 529 Plan Share Class Initiative (the Initiative) to encourage member firms to self-report potential ...
Legal Alert: Georgia Governor Signs into Law Revisions to Business Judgment Rule, Codifying Protections for Banking and Corporate Officers and Directors (May 10, 2017)
On Tuesday, Governor Nathan Deal signed into law a change to Georgia’s business judgment rule. The legislation, which was supported by the Georgia Bankers Association and the Georgia Chamber of ...
Legal Alert: Ninth Circuit Holds D&O Policy Bars Coverage of FDIC’s Claims (April 12, 2017)
In a decision, the US Court of Appeals for the Ninth Circuit, in finding for a directors & officers (D&O) insurer, denied coverage of the Federal Deposit Insurance Corporation’s (FDIC) claims ...
Hiring and Using Compliance Consultants (April 10, 2019)
The Review of Securities & Commodities Regulation
In the first of two recent actions involving compliance consultants, the US Securities and Exchange Commission (SEC) was successful in enforcing a subpoena for communications between a defendant and ...
FINRA's Recent Enforcement Actions Pack A Hard Punch (March 13, 2019)
Eversheds Sutherland’s review of the disciplinary actions brought by the Financial Industry Regulatory Authority (FINRA) in 2018 shows that the amount of fines ordered by FINRA increased compared ...
How Kavanaugh’s Nomination Affects Financial Institutions (August 3, 2018)
President Donald Trump’s recent nomination of Judge Brett Kavanaugh to serve on the United States Supreme Court is consistent with the Trump administration’s policy of promoting American business by ...
Georgia Legislature Stands Behind Business Judgment Rule (July 12, 2017)
ABA Section of Litigation, Professional Liability Litigation Newsletter
Although Georgia’s Supreme Court began to move in the opposite direction, in their article for the ABA Section of Litigation, Professional Liability Litigation Newsletter, Eversheds Sutherland ...
Caveat Compliance: Can Firms Rely on Advice Received from Compliance Consultants? (March-April 2017)
Practical Compliance & Risk Management for the Securities Industry
Broker-dealers (BDs) and investment advisers (IAs) regularly hire compliance consultants to obtain advice about regulatory requirements. However, a recent SEC enforcement proceeding against an IA ...
Not Throwing Away Your Shot: Relying on Compliance Consultants to Defend Regulatory Actions (February 2017)
You are a CCO who is responsible for completing and filing Form ADV. You hire a compliance consultant to advise you on what information to include. You act in accordance with that advice, but you ...
Reliance on Compliance Consultants May Not Be an Available Defense (December 1, 2016)
In a recent Securities and Exchange Commission (SEC) enforcement proceeding against an investment adviser, the Commission rejected “reliance on compliance consultants” as a defense to violating the ...
Eversheds Sutherland 2016 Pro Bono Hours Add Up for Worthwhile Causes (July 31, 2017)
Eversheds Sutherland is pleased to announce that its attorneys spent more than 15,000 hours on 614 pro bono matters in 2016. The cases, which ranged from contract disputes to high-profile asylum ...
Eversheds Sutherland (US) Secures Pro Bono Victory for Client (June 6, 2017)
ATLANTA-Eversheds Sutherland (US) LLP is pleased to announce that US Citizenship and Immigration Services (USCIS) granted asylum to a 14-year-old Liberian girl represented by the firm on a pro bono ...
Member, Florida Blue Key
Young Professionals Council, Georgia Appleseed Center for Law & Justice
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