Amber S. Unwala

AU
  • Associate at Eversheds Sutherland (US) LLP (436 Attorneys)
  • 700 Sixth Street NW, Suite 700, Washington, DC 20001-3980
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Biography

Amber Unwala focuses on an array of business and commercial litigation matters, including financial services and securities litigation and enforcement matters involving the US Securities and Exchange Commission (SEC).

Her work also includes counseling clients on internal investigations and white collar litigation matters.

Amber’s previous experience includes participating in the Eversheds Sutherland Summer Associate program and serving as a legal intern for the Enforcement Division of the US Department of Education. She also was a legal intern for the American Civil Liberties Union.

Publications

Legal Alerts

Legal Alert: Proposed Regulation BI coverage of retirement investors (March 5, 2019)
There is some debate about the intended scope of proposed Regulation BI (Best Interest) coverage in the case of retirement investors.The SEC explicitly contemplated that the proposal would be ...

Legal Alert: The best interest standard under FINRA’s suitability rule (February 26, 2019)
In connection with the US Securities and Exchange Commission’s proposed Regulation Best Interest, the Financial Industry Regulatory Authority (FINRA) has asserted (with some case law support from the ...

Legal Alert: Broker-dealers selling annuities - preparing for the best interest standard under New York’s amended Insurance Regulation 187 (February 14, 2019)
Broker-dealers selling annuity products in New York will soon need to comply with New York's recently amended Insurance Regulation 187 ( Suitability and Best Interests in Life Insurance and Annuity ...

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: The SEC’s litigation against a firm for allegedly inadequate disclosure of shareholder service fees and 12b-1 fees (January 28, 2019)
During the past several years, the US Securities and Exchange Commission (SEC) has settled more than a dozen cases where the SEC alleged (with the firms neither admitting nor denying the charges) ...

Legal Alert: The far reach of state law - Nevada proposes fiduciary duty regulations for broker-dealers and investment advisers (January 28, 2019)
Under Nevada law, financial planners owe a fiduciary duty to their clients.1 In accordance with this duty, a financial planner must disclose, at the time advice is given, any gain the financial ...

Legal Alert: SEC and CFTC continue efforts to regulate cryptocurrency (November 13, 2018)
Two important events occurred in the cryptocurrency space last week.1 The Chairman of the US Commodity Futures Trading Commission (CFTC) gave a speech regarding regulators’ role in effectively ...

Legal Alert: Standards of conduct for investment professionals - overlapping protections for broker-dealer retirement customers (October 15, 2018)
The legal standards for broker-dealer firms (BDs) and their representatives, particularly in the retirement market, continue to be in flux. BDs were among those most affected by the promulgation in ...

FINRA’s Disciplinary Actions in 2017 (and beyond): Increased restitution ordered with minimal changes in number of cases; variable annuities cases significantly down (May 4, 2018)
In 2017, the Financial Industry Regulatory Authority (FINRA) ordered more than two times the restitution from the prior year, resulting in the fourth highest total of sanctions (fines combined with ...

Legal Alert: Former financial services trader acquitted of charges related to spoofing (May 1, 2018)
On April 24, 2018, a federal jury in New Haven, Connecticut, acquitted a former trader who was accused of manipulating the precious metals futures market through a practice known as “spoofing”.1 ...

Articles

Cybersecurity and Data Privacy review and update: Looking back on 2018 and planning ahead for 2019 (March 1, 2019)
From the implementation of the GDPR to the passage of the CCPA, the year 2018 proved to be a monumental one for cybersecurity and data privacy. Regulators from around the world responded to ...

A Look Back On The CFTC’s Robust Year In Enforcement (January 23, 2019)
Corporate Compliance Insights
In this article for Corporate Compliance Insights, Eversheds Sutherland attorneys Gregory Kaufman and Amber Unwala review enforcement activity by the Commodity Futures Trading Commission (CFTC) in ...

Guardians of the (Compliance) Galaxy: Lessons from SEC and FINRA Enforcement (November-December 2018)
Practical Compliance and Risk Management
Compliance officers may not wear magic capes, don futuristic armor or waive supernatural hammers, but they do serve as generals in a firm’s army of compliance professionals (even if that army is ...

Forum shopping in mass tort litigation: The impact of Bristol-Myers a year later (Fall 2018)
Partnering Perspectives
In the year since the US Supreme Court decided Bristol-Myers Squibb Co. v. Superior Court, limiting forum shopping in mass tort litigation, courts have grappled with questions that the ruling did not ...

You're Hired! What Judge Kavanaugh’s Nomination May Mean For the SEC’s Enforcement Program (July 16, 2018)
Law360
On the night of Monday, July 9, President Donald Trump interrupted one of America’s most-watched reality television shows, The Bachelorette, to deliver his own metaphorical final rose to D.C. ...

Agony of Defeat: An Olympiad Analysis of SEC, FINRA and Treasury Department Enforcement Actions Against Compliance Officers (June 2018)
NSCP Currents
In their article for NSCP Currents, re-printed with permission from Practical Compliance and Risk Management, attorneys Brian Rubin and Amber Unwala analyze enforcement cases brought by the SEC, ...

Bristol-Myers Squibb: One Year Later (June 18, 2018)
Law360
In the year since the US Supreme Court decided Bristol-Myers Squibb Co. v. Superior Court, limiting where plaintiffs can bring claims and curbing forum-shopping in mass tort litigation, courts have ...

Recent Developments Have Let the Air Out of Slack Fill Lawsuits (May 21, 2018)
New York Law Journal
Slack fill litigation has been a significant trend within the food and beverage industry over the past several years. Approximately 300 slack fill cases were filed between 2016 and 2017. The cases ...

Agony of Defeat: An Olympiad Analysis of SEC, FINRA and Treasury Department Enforcement Actions Against Compliance Officers (April 30, 2018)
Practical Compliance and Risk Management
In their article for Practical Compliance and Risk Management, attorneys Brian Rubin and Amber Unwala analyze enforcement cases brought by the SEC, FINRA and the Treasury Department against ...

CFTC Enforcement Actions 2017: Ye[a]r So Bad? Not The Best Year They’ve Ever Had (March 15, 2018)
Bloomberg Law Securities Regulation & Law Report
Several years ago, we questioned whether the enforcement activities of the US Commodity Futures Trading Commission (CFTC) were poised to settle into a new normal as the financial crisis slipped ...

Newsletters

Partnering Perspectives: Insights from Inside and Outside the Corporate Law Department (Fall 2018)
We are pleased to present the Fall 2018 edition of Partnering Perspectives, which focuses on a number of legal developments as well as offers recommendations of preventive measures that you might ...

News

In the News

Winning Asylum After Six Years (May 18, 2018)
Kids in Need of Defense (KIND)
In this interview with KIND, Eversheds Sutherland attorneys Brian Rubin and Amber Unwala are featured as pro bono attorneys of the month for recently winning asylum for their client Diego, who had ...

Press Releases

Eversheds Sutherland Secures Pro Bono Victory: Court Grants Asylum to Client Facing Persecution in Honduras (April 18, 2018)
Eversheds Sutherland (US) LLP is pleased to announce that a US Immigration Court Judge has granted asylum to a young Honduran man. The decision resolves his nearly six-year-long quest for protection ...

Areas of Practice (8)

  • Litigation
  • Class Action Defense
  • Complex Business Litigation
  • Financial Services Litigation
  • Securities Enforcement & Litigation
  • Internal Investigations
  • Broker-Dealer
  • Investment Adviser

Education & Credentials

Contact Information:
University Attended:
Rutgers University, B.A.
Law School Attended:
American University Washington College of Law, J.D., Senior Note and Comment Editor, Administrative Law Review
Year of First Admission:
2017
Admission:
2017, District of Columbia
Languages:
Gujarati and Hindi and Spanish and Urdu
ISLN:
1000247534

Peer Reviews

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*Peer Reviews provided before April 15, 2008 are not displayed.

Washington, District of Columbia

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