Brian Rubin, a member of Sutherland’s Litigation Practice Group, represents broker-dealers, investment advisers, investment companies, public companies and individuals being examined, investigated and prosecuted by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and states. He also represents securities clients in litigation and arbitration, and counsels them on regulatory and compliance matters. In addition, Brian conducts internal investigations. Recently, he represented firms and individuals on matters involving variable product and mutual fund transactions, advertising, e-mail retention, markups/markdowns, fee-in-lieu of commission accounts, market timing, late trading, 529 Plan sales and supervision.

Before joining Sutherland, Brian was Deputy Chief Counsel with the NASD’s Enforcement Department, where he managed attorneys and examiners in the Washington, D.C., home office and in the district offices. Brian investigated and prosecuted firms and individuals for violations of federal securities laws and NASD rules, handling all phases of investigations, trial and appellate litigation. In September 2002, he received the prestigious Excellence in Service Award for outstanding commitment and superior performance in support of NASD. He also received the NASD President’s Award for outstanding performance and dedicated service.

Previously, Brian was Senior Counsel in the SEC’s Division of Enforcement, where he investigated and prosecuted violations of federal securities laws.