Bruce Bettigole is a member of Sutherland’s Litigation Practice Group. He represents clients involved in Financial Industry Regulatory Authority (FINRA), the U.S. Securities and Exchange Commission (SEC), Public Company Accounting Oversight Board (PCAOB), State securities commissions, and the U.S. Department of Justice (DOJ) investigations and litigation, as well as in FINRA arbitrations and private securities class actions.
Bruce provides counsel across a broad spectrum of securities enforcement matters, including allegations of misrepresentations, omissions, accounting fraud, stock manipulation, insider trading, deficient sales practices and supervision, anti-money laundering program weaknesses and other key issues.
Bruce has been in private practice since July 2004. From 1991 to 2004, Bruce served with the SEC and NASD (now known as FINRA), and as a Special Assistant U.S. Attorney in the Eastern District of New York, the Southern District of Florida, the District of New Jersey, and the District of Nevada. He was lead trial counsel in numerous successful prosecutions, including U.S. v. Swan, U.S. v. Orkin, and U.S. v. Nazareno. He served as a Director and Chief Counsel in NASD’s Enforcement Department from 2003 to 2004, where he supervised investigations and litigation. Bruce also was Chief Counsel of NASD’s Criminal Prosecution Assistance Group from its inception in 1998 until 2003, supervising the unit and assisting federal, state, and local prosecutors nationwide in criminal securities-related investigations and prosecutions. From 1991 to 1998, Bruce was an Assistant Chief Litigation Counsel with the SEC. Before specializing in securities matters, Bruce was in private practice in general litigation from 1981 to 1991.
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