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Eversheds Sutherland (US) LLP
Department profile | Eversheds Sutherland (US) LLP
Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

Chambers Review

Provided by Chambers

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) - USA - Nationwide

3
Band 3

What the Team is Known For

Eversheds Sutherland (US) LLP is a well-regarded firm which houses a rounded team of attorneys, equipped to advise on diverse securities law matters. Regulatory expertise in the broker-dealer space is strengthened by vast experience defending enforcement actions brought by a range of authorities including the SEC and FINRA. Noted for its skillful representation of a varied client base, which includes banks, brokerages and investment funds.

Strengths

Provided by Chambers

They combine technical precision with a strong understanding of commercial realities.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

They provide creative and practical recommendations for complex issues.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

Eversheds does not shy away or try to avoid complex, significant issues. It delves in and helps us think through how to best tackle them.

Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondent
USA

Notable Practitioners

Provided by Chambers

Brian L Rubin
1
Brian L Rubin
1
Band 1

Brian Rubin routinely represents broker-dealers and other financial institutions in connection with challenging regulatory, enforcement and administrative actions. He is co-head of the firm's securities enforcement practice.

He is a great resource on both legal and business issues.

Brian is an amazing attorney and advocate for my company.

Brian is an real asset to the firm and always great to work with.

Brian is great to work with; he is knowledgeable and provides a practical approach to complex issues.

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Clifford E. Kirsch
2
Clifford E. Kirsch
2
Band 2

Clifford Kirsch leads the investment services group in the firm. He utilizes his previous experience at the SEC to advise broker-dealer and investment adviser clients on a range of issues, such as the impact of the SEC's Regulation Best Interest. He also has notable experience of handling matters involving the FINRA.

Cliff is great leader, mentor, a true asset to the firm and is always a pleasure to work with.

Cliff has excellent commercial awareness.

Cliff is a wonderful thought partner.

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Holly Smith
2
Holly Smith
2
Band 2
Noted attorney Holly Smith is an expert on broker-dealer compliance issues. She offers additional skills in cybersecurity and privacy matters.

She is a thoughtful and brilliant attorney.

Holly is wonderful to work with and an expert in her field.

Her breadth of knowledge is incredible.

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Ranked Lawyers at
Eversheds Sutherland (US) LLP

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USA - Nationwide

Financial Services Regulation: Broker Dealer (Compliance)
Clifford E. Kirsch
2
Clifford E. Kirsch
2
Band 2
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Holly Smith
2
Holly Smith
2
Band 2
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Financial Services Regulation: Broker Dealer (Enforcement)
Brian L Rubin
1
Brian L Rubin
1
Band 1
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