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Eversheds Sutherland (US) LLP
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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.

Work Highlights

Provided by Eversheds Sutherland (US) LLP

  • . Eversheds Sutherland (US) LLP represented a coalition of broker-dealers in a variety of dealings with FINRA, helping to shape its rulemakings.

Strengths

Provided by Chambers

"The team is experienced, practical and well-connected in the industry."

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

"The attorneys in the group have the knowledge and expertise to handle complex and sophisticated matters."

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

"The team is able to identify the key issues quickly and suggest pragmatic solutions."

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

Notable Practitioners

Provided by Chambers

Brian L Rubin
2
Brian L Rubin
2
Band 2

Brian Rubin routinely represents broker-dealers and other financial institutions in connection with challenging regulatory, enforcement and administrative actions.

"Brian is highly regarded for his level of knowledge, expertise and responsiveness."

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Clifford E. Kirsch
3
Clifford E. Kirsch
3
Band 3

Clifford Kirsch 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.

"He is a highly respected attorney in this space."

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Holly Smith
3
Holly Smith
3
Band 3

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

"Holly is a very strong lawyer with deep knowledge in her area of expertise."

"Holly has a wealth of experience and a broad perspective. We love working with her."

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Ranked Lawyers at
Eversheds Sutherland (US) LLP

Provided by Chambers
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USA - Nationwide

Financial Services Regulation: Broker Dealer (Compliance)
Clifford E. Kirsch
3
Clifford E. Kirsch
3
Band 3
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Holly Smith
3
Holly Smith
3
Band 3
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Financial Services Regulation: Broker Dealer (Enforcement)
Brian L Rubin
2
Brian L Rubin
2
Band 2
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