Brian Rubin heads Sutherland’s Securities Enforcement and White Collar Litigation Practice Team. He 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 non-traded real estate investment trusts (REIT), variable products, mutual funds, advertisements, e-mail retention, markups/markdowns, Ponzi schemes, Anti-Money Laundering (AML) 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, trials 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.
© 2013 Sutherland Asbill & Brennan LLP
J.D., Duke University School of Law, 1987,
Vice Chair, Moot Court Board
First Place Team, Craven Cup National Moot Court Competition
M.A., Economics, Duke University, 1987
B.S., cum laude, Wharton School, University of Pennsylvania, 1984
District of Columbia