Department profile
Eversheds Sutherland (US) LLP

Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

USA Guide 2026 : USA - Nationwide

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Eversheds Sutherland (US) LLP

Rankings

Chambers Review

Provided by Chambers

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

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.

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Strengths

Provided by Chambers

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

    Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

  • They provide creative and practical recommendations for complex issues.

    Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

  • 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) respondentUSA

Notable Practitioners

Provided by Chambers

  • Brian L Rubin
    Brian L Rubin

    Brian L Rubin

    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.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

    • Brian is an amazing attorney and advocate for my company.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

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

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

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

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
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  • Clifford E. Kirsch
    Clifford E. Kirsch

    Clifford E. Kirsch

    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.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

    • Cliff has excellent commercial awareness.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

    • Cliff is a wonderful thought partner.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
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  • Holly Smith
    Holly Smith

    Holly Smith

    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.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

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

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA

    • Her breadth of knowledge is incredible.

      Financial Services Regulation: Broker Dealer (Compliance & Enforcement) respondentUSA
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Ranked Individuals at Eversheds Sutherland (US) LLP (3)

USA - Nationwide

  • Profile image of Clifford E. Kirsch

    Clifford E. Kirsch

    Financial Services Regulation: Broker Dealer (Compliance)

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  • Profile image of Holly Smith

    Holly Smith

    Financial Services Regulation: Broker Dealer (Compliance)

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  • Profile image of Brian L Rubin

    Brian L Rubin

    Financial Services Regulation: Broker Dealer (Enforcement)

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