Brian Rubin is the Washington office leader of Sutherland’s Litigation Group and the Administrative Partner in charge of the Securities Enforcement and Litigation Team. With more than 20 years of experience in federal securities law, first prosecuting and now defending, Brian represents clients being examined, investigated and prosecuted by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (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 broker-dealers, investment advisers, investment companies, public companies and individuals in examinations, investigations, enforcement proceedings, litigation, arbitrations and in counseling.
Recently, Brian represented firms and individuals on matters involving REITs, variable annuities, variable life insurance, mutual funds, advertising, email retention and surveillance, advisory accounts, insider trading, trade reporting, markups/markdowns, registration, privacy and supervision. He regularly litigates against regulators and claimants, counsels clients on regulatory and compliance matters and conducts internal investigations.
Awards and Rankings
Named to The Best Lawyers in America in the areas of securities law (2008-2011), litigation – securities (2012-2017) and securities regulation (2012-2017) and selected for inclusion in Washington, D.C., Super Lawyers® in the area of securities litigation (2012-2016)
Recipient, Highly Commended Award Winner by the Emerald Literati Network for co-authoring “FINRA’s Sanctions in 2009: A Sign of Things to Come?” published in the November 2010 issue of the Journal of Investment Compliance (2011)
Recipient, Burton Award for Legal Achievement for co-authoring “The House That the Regulators Built: An Analysis of Whether Respondents Should Litigate Against NASD,” published in the May 2005 issue of BNA’s Securities Regulation & Litigation Report (2006)
Fellow, Litigation Counsel of America
Member, Board of Advisors, Bloomberg BNA’s Securities Regulation & Law Report
Member, Board of Advisors, Securities and Exchange Commission Historical Society
Member, 2010 Editorial Advisory Board, Securities Law360
Member, Editorial Board, Journal of Securities Law, Regulation & Compliance
Member, Editorial Advisory Board, Practical Compliance and Risk Management for the Securities Industry
Member, Editorial Board, Journal of Investment Compliance
Former Member, Board of Directors, Kids Enjoy Exercise Now (K.E.E.N.) Foundation, Inc., a nonprofit organization with branches in the United States and England that provides free recreation opportunities to children with severe and profound disabilities
Former Member, Board of Directors of SEEC Corporation, a nonprofit organization that provides employment, housing, recreational and therapeutic support for adults with developmental disabilities