Brian L. Rubin

Brian L. Rubin: Attorney with Eversheds Sutherland (US) LLP
Attorney Awards

Biography

Brian Rubin is the Washington office leader of the Eversheds Sutherland (US) Litigation group and the head of the firm’s Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities enforcement practice. 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 SEC, 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.

Client Tools

•Cybersecurity and Privacy Insights Blog

Awards and Rankings

Recipient, Law360 Distinguished Legal Writing Award, presented at the 2019 Burton Awards for Legal Achievement for co-authoring, “When Precedent Doesn’t Really Stand for That Proposition: FINRA’s Suitability Rule and the Meaning of ‘Best Interest,’” published by Bloomberg Law. (2019)

Recognized by Chambers USA: Guide to Leading Business Lawyers in the area of financial services regulation: broker-dealer (enforcement) (2017-2018)

Named to The Best Lawyers in America in the areas of securities law (2008-2011), litigation - securities (2012-2019) and securities regulation (2012-2019) and selected for inclusion in Washington, D.C., Super Lawyers in the area of securities litigation (2012-2018)

Recognized by The Legal 500 United States in the area of financial services: regulatory (2018)

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)

Experience

“I help people and companies. When I worked as a regulator, I helped to make sure that companies and individuals were following the law and not cheating people. In my work now, I try to ensure that clients comply with the law and are treated fairly by regulators.”

Experience

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.
Advised multiple broker-dealers in SEC cybersecurity examinations. The SEC closed these matters without taking action.
Advised a broker-dealer/investment adviser on assessing and self-reporting a cybersecurity breach, and neither the SEC nor FINRA pursued an investigation.
Appealed successfully to the SEC a FINRA decision finding that two registered representatives engaged in illegal private securities transactions.
Achieved a reduction in penalties against a broker-dealer, its chief compliance officer and another principal in one of the first cases involving FINRA's variable annuity suitability rule.
Convinced FINRA to drop dozens of charges and significantly reduce the sanction in one of FINRA's investigations into sales and marketing practices of non-traded REITs.
Convinced FINRA to close an anti-money laundering case against a broker-dealer CCO and settled the case for the broker-dealer.
Convinced FINRA that a broker-dealer's sales of a gold certificate program did not constitute illegal sales of securities.
Settled favorably an investigation of a major options broker-dealer by the Chicago Board of Options Exchange into net capital issues.
Negotiated a favorable eleventh-hour settlement for a broker-dealer and investment adviser on the eve of trial against the SEC involving valuation issues.
Negotiated the successful resolution of a FINRA investigation of a broker-dealer's internal investigation of a Ponzi scheme where the victims lost approximately $380 million.
Defended a broker-dealer and its chief compliance officer in a large FINRA investigation that was settled on favorable terms.
Defended in trial a broker-dealer against SEC allegations that the firm violated Regulation S-P through its recruiting practices and convinced the ALJ to order a reduced penalty.
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.
Negotiated settlements of fee-in-lieu of commission cases on behalf of two different bank-affiliated broker-dealers.
Defended a dually registered broker-dealer and investment adviser in a two-year Department of Labor investigation of compensation and sales practices, resulting in no action by the DOL.
Won asylum for a pro bono client, a former Iraqi Ministry of Health official who received death threats after refusing to aid and cover up the torture of civilians and after testifying against high-ranking military leaders.
Won a pro bono case awarding disability benefits to a client who suffers from medical and psychological impairments and who had previously been denied benefits.
Defended successfully a broker-dealer in DOL investigations under its Consultant/Adviser audit program.

Publications

“The perception among both firms and individuals when dealing with the government or regulators is that there’s no way to succeed against the 10,000-pound gorilla. Our studies on litigating against the SEC and FINRA show that sometimes litigation does make sense. In some circumstances, respondents can be successful.”

Legal Alerts

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: Supreme Court strengthens enforceability of arbitration provisions (January 11, 2019)
In his first Supreme Court opinion, Justice Kavanaugh, writing for a unanimous court, held that when a contract delegates to arbitrators gateway questions regarding arbitrability of disputes, courts ...

Legal Alert: SEC operating status during the government shutdown (January 2, 2019)
The US Securities and Exchange Commission (SEC) will follow its Operations Plan Under a Lapse in Appropriations and Government Shutdown (the Operations Plan) during the government shutdown, which ...

Legal Alert: The other shoe has dropped - The SEC follows up with firms that didn’t self-report under the share class initiative (December 12, 2018)
The Share Class InitiativeOn February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure Initiative ...

Legal Alert: US Department of Justice relaxes Yates Memorandum’s requirements for earning cooperation credit (December 3, 2018)
On November 29, 2018, the US Department of Justice (DOJ) modified prior guidance on individual liability for corporate misconduct by affording federal prosecutors discretion to focus on “individuals ...

Legal Alert: CFTC and SEC continue their efforts to regulate virtual currencies and Blockchain-based smart contracts (December 3, 2018)
For those longing for the heady days of the cryptocurrency free-for-all, this November is proving to be the start of the winter of your discontent.The US Commodity Futures Trading Commission ...

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 ...

FINRA's Suitability Rule vs. SEC's 'Best Interest' Regulation (January 15, 2019)
Law360
In 2019, a key priority for the SEC will be adopting Regulation Best Interest, which would require broker-dealers to act in the best interest of their retail customers. In a comment letter regarding ...

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 ...

When Precedent Doesn’t Really Stand for That Proposition: FINRA’s Suitability Rule and the Meaning of “Best Interest” (December 12, 2018)
Bloomberg Law
Everyone knows that broker-dealers and investment advisers have different duties and obligations to their clients. Well, not quite everyone. In particular, not the Financial Industry Regulatory ...

FINRA’S 2018 Disciplinary Harvest Bears More Fines (November 2018)
NSCP Currents
With the changing seasons, it’s time to pull out your corduroy pants and flannel shirts and enjoy the crisp air, apple picking, and pumpkin spice lattes. To get into the spirit of autumn, the ...

Trends In FINRA's 2018 Disciplinary Actions (October 2, 2018)
Law360
With the changing seasons, it’s time to pull out your corduroy pants and flannel shirts and enjoy the crisp air, apple picking and pumpkin spice lattes. To get into the spirit of autumn, the ...

FINRA's Variable Annuity Enforcement Efforts in 2018 (October 2018)
IRI Law Journal
Eversheds Sutherland's recent article on FINRA's variable annuity (VAs) enforcement efforts in 2018 is featured in the second issue of the IRI Law Journal. This review of FINRA’s VA cases identifies ...

FINRA’s Variable Annuity Enforcement Efforts in 2018 (September 2018)
NSCP Currents
From January through July 2018, the Financial Industry Regulatory Authority (FINRA) has continued its focus on variable annuities (VAs), particularly related to exchanges and multi-share class VAs. ...

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. ...

FINRA’s Disciplinary Actions in 2017: Increased Restitution Ordered With Minimal Changes in Number of Cases (July 2018 )
Journal of Investment Compliance
In 2017, the Financial Industry Regulatory Authority (FINRA) ordered more than two times the amount of restitution from the prior year, resulting in the fourth highest total sanctions (fines combined ...

Newsletters

Eversheds Sutherland’s Securities Enforcement Global Update (Winter 2019)
Eversheds Sutherland has completed its Securities Enforcement Global Update for Winter 2019, highlighting newsworthy events, cases and sanctions from financial regulators in the United States and ...

Eversheds Sutherland’s Securities Enforcement Global Update (Fall 2018)
Eversheds Sutherland has completed its Securities Enforcement Global Update for Fall 2018, highlighting newsworthy events, cases and sanctions from financial regulators in the United States and ...

Eversheds Sutherland’s Securities Enforcement Global Update (Summer 2018)
Eversheds Sutherland has completed its Securities Enforcement Global Update for Summer 2018, highlighting newsworthy events, cases and sanctions from financial regulators in the United States and ...

Eversheds Sutherland’s Securities Enforcement Global Update (Winter 2018)
Eversheds Sutherland has completed its Securities Enforcement Global Update for Winter 2018, highlighting newsworthy events, cases and sanctions from financial regulators in the United States and ...

Eversheds Sutherland’s Securities Enforcement Global Update (Fall 2017)
Eversheds Sutherland has completed its Securities Enforcement Global Update for Fall 2017, highlighting newsworthy events, cases and sanctions from financial regulators in the United States and ...

Eversheds Sutherland’s Securities Enforcement Global Update (Summer 2017)
Eversheds Sutherland has completed its Securities Enforcement Global Update for Summer 2017, highlighting newsworthy events, cases, and sanctions from financial regulators in the United States and ...

CyberSecurity Insights: Will the NIST Framework be Nasty or Nice for Broker-Dealers and Investment Advisers? (November 17, 2014)
CSI: Sutherland

CyberSecurity Insights: The Good, the Not-So-Good, and the Ugly (October 14, 2014)
CSI: Sutherland

CyberSecurity Insights: SIFMA's CyberSecurity Guidance (September 3, 2014)
CSI: Sutherland

Presentations

“Prosecutors and regulators have more recently focused on the personal liability of CEOs, presidents and CCOs. When a company violates a rule, the regulators want to know who is responsible. The mantra we hear is: ‘Companies act through people.’”

Presentations

First Clearing 529 Self Reporting Initiative Symposium Webinar (February 21, 2019)
Eversheds Sutherland Partner Brian Rubin presents on FINRA’s 529 Self Reporting Initiative on February 21, 2019.

SEC Enforcement, Investigations and Actions Related to Share Class and Revenue Share Disclosures (January 4, 2019)
RegEd
Eversheds Sutherland (US) Partners Michael Koffler and Brian Rubin present on a webcast panel titled SEC Enforcement, Investigations and Actions Related to Share Class and Revenue Share Disclosures ...

SEC Enforcement Begins Inquiries on 12b-1 Fees and Revenue Sharing Arrangements (December 17, 2018)
Investment Adviser Association (IAA)
Eversheds Sutherland (US) Partners Michael Koffler and Brian Rubin present on a IAA member briefing call on SEC Enforcement Inquiries Regarding 12b-1 Fees and Revenue Sharing Arrangements on December ...

Recent Developments in the SEC's Share Class Self Disclosure Initiative & Enforcement Efforts (December 13, 2018)
Financial Services Institute
Eversheds Sutherland (US) Partner Brian Rubin presents on the “Recent Developments in the SEC's Share Class Self Disclosure Initiative & Enforcement Efforts” webinar hosted by the Financial Services ...

FINRA’s Enforcement Trends in 2018 (December 5, 2018)
SIFMA General Counsels Committee Meeting
Eversheds Sutherland (US) Partner Brian Rubin presents FINRA’s Enforcement Trends in 2018 at the SIFMA General Counsels Committee meeting on December 5, 2018, in New York, New York.

Recent SEC and FINRA Compliance and Enforcement Developments (November 9, 2018)
ALI-CLE Life Insurance Company Products 2018
Eversheds Sutherland (US) Partner Brian Rubin presented on the Recent SEC and FINRA Compliance and Enforcement Developments panel on the ALI-CLE Life Insurance Company Products 2018 webcast on ...

Broker-Dealer Enforcement Issues (October 30, 2018)
National Association of Compliance Professionals National Conference
Eversheds Sutherland (US) Partner Brian Rubin presented on the Broker-Dealer Enforcement Issues panel at the National Association of Compliance Professionals National Conference on October 30, ...

Webcast - Advisers Act Regulatory Series: 2018 Third Quarter Update (September 13, 2018)
On September 13, please join Eversheds Sutherland (US) attorneys Clifford Kirsch, Michael Koffler, Brian Rubin, Issa Hanna, Ben Marzouk, Bria Adams and Sue Lee for our quarterly series of ...

Webcast: SEC & FINRA Mid-Year Enforcement Update (July 25, 2018)
MyComplianceOffice
Interested in learning about the top SEC and FINRA enforcement issues and what’s on the horizon for the rest of the year? Eversheds Sutherland (US) attorneys Brian Rubin and Adam Pollet present a ...

Fact or fiction: blockchain technology in the financial services industry (June 27, 2018)
As part of its quarterly General Counsel roundtable, Eversheds Sutherland's Global Financial Services Disputes and Investigations (FSDI) team will facilitate an interactive discussion regarding the ...

News

“Our studies about regulatory enforcement actions have helped the industry tremendously. First, our annual analyses on FINRA’s sanctions help firms and reps learn about enforcement trends and FINRA’s priorities. Second, our studies on litigating against the SEC and FINRA have given prospective and actual respondents a new way to assess litigation risk and the likelihood of success.”

In the News

Regulators Bear Down On VA Sales, Commissions (February 15, 2019)
Financial Advisor
Eversheds Sutherland Partner Brian Rubin is quoted in this Financial Advisor article discussing the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority's (FINRA) ...

FINRA to Crack Down on 529 Plan Share Class Recommendations (January 28, 2019)
ThinkAdvisor
Eversheds Sutherland Partner Brian Rubin is quoted in this ThinkAdvisor article discussing the Financial Industry Regulatory Authority’s (FINRA) recent regulatory notice which allows broker-dealers ...

FINRA Releases 2019 Exam Priorities (January 22, 2019)
ThinkAdvisor
Eversheds Sutherland Partner Brian Rubin is quoted in this ThinkAdvisor article discussing the Financial Industry Regulatory Authority's (FINRA) recently released risk monitoring and exam priorities ...

FINRA Focuses Exam Priorities on Investor-Protection Threats (January 22, 2019)
InvestmentNews
Eversheds Sutherland Partner Brian Rubin is quoted in this InvestmentNews article discussing the Financial Industry Regulatory Authority's (FINRA) 2019 examination priorities list, which is ...

Supervisory Failure is Behind Most Regulator Actions against CCOs (December 26, 2018)
Financial Advisor IQ
Eversheds Sutherland Partner Brian Rubin is quoted in this Financial Advisor IQ article discussing Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry ...

Top FINRA and SEC Pitfalls for CCOs In 2018 (December 17, 2018)
Financial Advisor
Eversheds Sutherland Partner Brian Rubin is quoted in this Financial Advisor article discussing Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry ...

SEC Probes Share-Class, Revenue-Sharing Violations (December 14, 2018)
Ignites
Eversheds Sutherland Partner Brian Rubin is quoted in this Ignites article discussing the US Securities and Exchange Commission’s (SEC) investigation into firms that have overcharged investors by ...

SEC Launches New Inquiries under Share-Class Disclosure Initiative (December 13, 2018)
ThinkAdvisor
Eversheds Sutherland Partners Brian Rubin and Clifford Kirsch are quoted in this ThinkAdvisor article discussing the US Securities and Exchange Commission’s (SEC) Share Class Disclosure Initiative ...

Top Five Most Heavily Fined Issues This Year (Annuities Among Them) (November 6, 2018)
Financial Advisor IQ
Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018 is mentioned in this Financial Advisor IQ article.

FINRA Fines LPL $2.75 Million for Reporting Failures (October 30, 2018)
InvestmentNews
Eversheds Sutherland’s annual study of disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018 is mentioned in this InvestmentNews article.

Press Releases

Annual Eversheds Sutherland Analysis of FINRA Disciplinary Actions Shows Fines Increased in 2018 (March 1, 2019)
Eversheds Sutherland has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2018. By reviewing FINRA’s monthly disciplinary ...

Eversheds Sutherland Attorneys Win Distinguished Legal Writing Award (February 27, 2019)
Eversheds Sutherland is pleased to announce that Partner Brian L. Rubin and Associates Melissa L. Fox and Amanda R. Giffin are recipients of the “Law360 Distinguished Legal Writing Award” for their ...

Eversheds Sutherland Study Finds FINRA Fines Up and Restitution Down in First Half of 2018 (September 25, 2018)
Eversheds Sutherland (US) LLP has completed its annual midyear analysis of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) from January through June 2018. By ...

18 Eversheds Sutherland Practice Areas, 68 Attorneys Named Among Nation’s Best in 2018 Legal 500 United States (May 30, 2018)
Eversheds Sutherland (US) LLP is pleased to announce that 18 practice areas and 68 attorneys have been recognized in the 2018 edition of The Legal 500 United States, a comprehensive survey of legal ...

19 Eversheds Sutherland Practice Areas, 59 Attorneys Named Among Nation’s Best in 2018 Chambers USA (May 3, 2018)
Eversheds Sutherland (US) LLP is pleased to announce that 19 practices and 59 attorneys have earned recognition in the 2018 edition of Chambers USA: America’s Leading Lawyers for Business. Chambers ...

16 Eversheds Sutherland (US) Attorneys Named 2018 Washington DC Super Lawyers and Rising Stars (April 23, 2018)
WASHINGTON-Eversheds Sutherland (US) LLP is pleased to announce that 10 of its attorneys based in Washington DC have been selected as top attorneys in the District of Columbia by Super Lawyers . ...

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 ...

Annual Eversheds Sutherland Analysis of FINRA Cases Shows Restitution on the Rise in 2017 (February 28, 2018)
WASHINGTON-Eversheds Sutherland (US) LLP has completed its annual study of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) in 2017. By reviewing FINRA’s ...

Eversheds Sutherland Partner Brian Rubin Selected to Serve in National Society of Compliance Professionals Leadership Role (October 24, 2017)
WASHINGTON-Eversheds Sutherland is pleased to announce that Partner Brian L. Rubin has been selected to join the National Society of Compliance Professionals (NSCP) Board of Directors. A longtime ...

Eversheds Sutherland Study Finds Mixed Results for FINRA’s Disciplinary Actions in First Half of 2017 (September 25, 2017)
WASHINGTON-Eversheds Sutherland has completed its annual midyear analysis of the disciplinary actions reported by the Financial Industry Regulatory Authority (FINRA) from January through June 2017. ...

Multimedia

Webcast - Advisers Act Regulatory Series: 2018 Third Quarter Update (September 13, 2018)
On September 13, please join Eversheds Sutherland (US) attorneys Clifford Kirsch, Michael Koffler, Brian Rubin, Issa Hanna, Ben Marzouk, Bria Adams and Sue Lee for our quarterly series of ...

Videocast: FINRA’s 2016 Disciplinary Program: “YUUUGE” Fines May Propel 2016 to Record-Setting Year (October 17, 2016)
FINRA’s disciplinary program had a very strong first half of 2016. A dramatic increase in fines, propelled by several multimillion dollar fines, may lead FINRA to shatter its previous record. In ...

Webcast: What Every GC, CFO and CCO Needs To Know About Data Breach Response (January 7, 2016)
A data breach responder is like a high-tech plumber. Just like a plumber does when a house’s basement floods, data breach responders identify the cause of a breach; combine forces to contain its ...

Webcast: BDCs and Cybersecurity Preparedness (March 26, 2015)
Business development companies (BDCs), like other financial institutions, are increasingly at risk for privacy and cyber threats. However, the federal and state compliance rules and regulations ...

Video: Litigating Against FINRA and the SEC (September 25, 2014)
Does it pay to take on the SEC or FINRA or do they have a “home court” advantage? Brian Rubin, formerly Deputy Chief Counsel of Enforcement at NASD and Senior Enforcement Counsel with the SEC, ...

Areas of Practice (13)

  • Alternative Dispute Resolution
  • Broker-Dealer
  • Crisis Management
  • Financial Services
  • Financial Services Litigation
  • Insurance
  • Internal Investigations
  • Investment Adviser
  • Litigation
  • Mutual Funds
  • Cybersecurity & Privacy
  • Securities Enforcement & Litigation
  • Corporate Crime and Investigations

Education & Credentials

Contact Information:
202.383.0124  Phone
www.eversheds-sutherland.com
University Attended:
The Wharton School of the University of Pennsylvania, B.S., cum laude; Duke University, M.A.
Law School Attended:
Duke University School of Law, J.D., Vice Chair, Moot Court Board, First Place Team, Craven Cup National Moot Court Competition
Year of First Admission:
1987
Admission:
1988, District of Columbia; 1987, Virginia
Memberships:

Professional Activities

fellow, American Bar Foundation
fellow, Litigation Counsel of America
Member, Board of Advisors, Securities and Exchange Commission Historical Society
Member, Board of Directors, National Society of Compliance Professionals (NSCP)
Member, 2010 Editorial Advisory Board, Securities Law360
Member, Editorial Board, Journal of Securities Law, Regulation & Compliance
Member, Editorial Advisory Board, Practical Compliance and Risk Management for the Securities Industry
Member, Editorial Board, Journal of Investment Compliance
Former Member, Board of Advisors, Bloomberg BNA's Securities Regulation & Law Report
Former Member, Board of Directors, Kids Enjoy Exercise Now (K.E.E.N.) Foundation, Inc., a nonprofit organization with branches in the United States and England that provides free recreation opportunities to children with severe and profound disabilities
Former Member, Board of Directors of SEEC Corporation, a nonprofit organization that provides employment, housing, recreational and therapeutic support for adults with developmental disabilities

Birth Information:
Brooklyn, New York, June 5, 1962
ISLN:
901955263

Peer Reviews

  • 5.0/5.0 (1 review)
  • Peer Reviewed
  • Legal Knowledge

    5.0/5.0
  • Analytical Capability

    5.0/5.0
  • Judgment

    5.0/5.0
  • Communication

    5.0/5.0
  • Legal Experience

    5.0/5.0

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

Documents (55)

Documents by this lawyer on Martindale.com

Washington, District of Columbia

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