Brian L Rubin

Brian is co-head of the Eversheds Sutherland securities enforcement team. With more than 30 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 companies and individuals in regulatory proceedings, litigation, arbitrations and counseling. Brian has also successfully litigated against the SEC, FINRA, and arbitration claimants, leading to multiple dismissals. His in-depth knowledge and understanding make him a sought-after speaker at conferences, including on panels with an SEC Commissioner, the CEO of FINRA and the heads of SEC and FINRA Enforcement. Brian is also a prolific writer, focusing on issues such as compliance officer liability and enforcement sanctions. His regular studies about FINRA’s disciplinary actions are the subject of widespread interest. Brian is also a three-time recipient of the Distinguished Legal Writing Award presented by the Burton Awards for Legal Achievement and he was selected Author of the Year by the National Society of Compliance Professionals.