FacultyFaculty/Author Profile

Brian L. Rubin

Eversheds Sutherland (US) LLP

Washington, DC, USA


Brian Rubin is the leader of the litigation department in Sutherland Asbill & Brennan’s Washington, DC, office and he is Administrative Partner in charge of the Securities Enforcement and Litigation Team. Brian defends companies and individuals being examined, investigated and prosecuted by the U.S. Securities and Exchange Commission, FINRA and states. He also represents clients in litigation and arbitrations, and counsels them on regulatory and compliance matters. Brian has been named to The Best Lawyers in America in the areas of securities law, securities litigation and securities regulation and he has been selected for inclusion in Washington, D.C., Super Lawyers® in the area of securities litigation.

Brian regularly writes and gives presentations about securities issues. He won the Burton Award for Legal Achievement for writing, “The House That the Regulators Built: An Analysis of Whether Respondents Should Litigate Against NASD.” In addition, he has authored numerous articles on chief compliance officer liability, including (1) “Compliance Wars: SEC and FINRA Disciplinary Actions against Chief Compliance Officers and In-House Counsel in a Galaxy Not Too Far Away” (using Star Wars as a theme); (2) “CCOs and In-House Counsel Who Got Whacked: SEC and FINRA Disciplinary Actions Against Chief Compliance Officers and In-House Counsel” (using the Sopranos as a theme), and (3) “The Girl with the SEC/FINRA Tattoo: Disciplinary Actions Taken Against Chief Compliance Officers” (using the Stieg Larsson book as a theme).

Before joining Sutherland, Brian was Deputy Chief Counsel with the NASD’s Enforcement Department, where he managed attorneys and examiners throughout the country. Previously, he was Senior Counsel in the SEC’s Division of Enforcement. Brian received his J.D. and his M.A. in Economics from Duke University and his B.S. degree from the Wharton School of Business of the University of Pennsylvania.

Brian L. Rubin is associated with the following items:
CHB Chapters  CHB Chapters Ch. 32A: Broker-Dealer Chief Compliance Officer Liability, Practising Law Institute, Broker-Dealer Regulation (2nd Edition) (November 2011) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Brian L. Rubin and Amy Xu, #CCOsGoingViral: An Analysis of SEC and FINRA Enforcement Actions Against Compliance Officers, Written for Millennials (and those who work with Millennials) (September 2016 to February 2017), Practical Compliance & Risk Management for the Securities Industry (July–August 2017) - Financial Services Industry Regulatory Compliance Forum 2017, Thursday, November 09, 2017
Web Segment  Web Segment Compliance and Legal Supervisory Liability in Financial Services - Financial Services Industry Regulatory Compliance Forum 2017, Monday, November 13, 2017
MP3 Audio  MP3 Audio Compliance and Legal Supervisory Liability in Financial Services - Compliance and Legal Supervisory Liability in Financial Services, Monday, November 13, 2017
Transcripts  Transcripts Compliance and Legal Supervisory Liability in Financial Services - Compliance and Legal Supervisory Liability in Financial Services, Monday, November 13, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Compliance and Legal Supervisory Liability in Financial Services - Compliance and Legal Supervisory Liability in Financial Services, Monday, November 13, 2017
On-Demand Web Programs  On-Demand Web Programs Financial Services Industry Regulatory Compliance Forum 2017, Wednesday, November 15, 2017, New York, NY
Treatise Chapters  Treatise Chapters Broker-Dealer Chief Compliance Officer Liability - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
How to Handle SEC/SRO Investigations; and Appendices 36A-36E - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
How to Handle SEC Investigations; and Appendices 34B-A to 34B-D - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
Investment Adviser Chief Compliance Officer Liability - Investment Adviser Regulation: A Step-by-Step Guide to Compliance and the Law (Third Edition), Thursday, October 25, 2018
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