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Brian L. Rubin


From Chambers USA 2023

For information about Chambers rankings, visit

Brian Rubin is co-head of the firm’s Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities enforcement practice. 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 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 broker-dealers, investment advisers, investment companies, public companies, asset managers and individuals in examinations, investigations, enforcement proceedings, litigation, arbitrations and in counseling.

Recently, Brian represented firms and individuals on matters involving 12b-1 fees, share class selection, revenue sharing, bank deposit sweeps, margin accounts, cyber breaches, 529s, variable annuities, variable life insurance, mutual funds, REITs, 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.

Selected Experience

Awards and Rankings

Recipient, Law360 Distinguished Legal Writing Award, presented at the 2023 Burton Awards for Legal Achievement for co-authoring, “A Tale of Two Enforcement Actions Against Compliance Officers: An analysis applying the NSCP Firm and CCO Liability Framework," published by NSCP Currents (2023)

Inconceivable: The Princess Bride Fences with SEC and FINRA Enforcement Matters” selected as “Best of NSCP Currents 2021.”

Recipient, NSCP Currents 2020 Author of the Year for “contributions [that] go above and beyond and whose content elevates the industry, our members, and the National Society of Compliance Professionals.”

The Show, er, um, Article About Nothing (other than SEC, CFTC, FINRA, and State Securities Enforcement Actions in August 2020)” selected as “Best of NSCP Currents 2020.”

Recipient, Law360 Distinguished Legal Writing Award, presented at the 2019 Burton Awards for Legal Achievement for co-authoring, “When Precedent Doesn’t Really Stand for That Proposition: FINRA’s Suitability Rule and the Meaning of ‘Best Interest,’” published in December 2018 by Bloomberg Law (2019)

Recognized by Chambers USA: Guide to Leading Business Lawyers in the area of financial services regulation: broker-dealer (enforcement) (2017-2023) and in the area of securities regulation enforcement (2021-2023)

Named to The Best Lawyers in America in the areas of securities law (2008-2011), litigation – securities (2012-2024) and securities regulation (2012-2024) and selected for inclusion in Washington, D.C., Super Lawyers® in the area of securities litigation (2012-2020)

Recognized by The Legal 500 United States in the area of financial services: regulatory (2018-2020); general commercial disputes (2021) and financial services regulation: broker-dealers (2023)

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)

Professional Activities

Member, Advisory Committee, Kids in Need of Defense (KIND)
Fellow, American Bar Foundation
Fellow, Litigation Counsel of America
Member, Board of Advisors, Securities and Exchange Commission Historical Society
Member, Board of Directors, National Society of Compliance Professionals (NSCP)
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 Advisors, Bloomberg BNA’s Securities Regulation & Law Report
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

  • J.D., Duke University School of Law, Vice Chair, Moot Court Board
    First Place Team, Craven Cup National Moot Court Competition
  • M.A., Duke University
  • B.S., cum laude, The Wharton School of the University of Pennsylvania
Bar Admissions
  • District of Columbia
Court Admissions
  • Court of Appeals of District of Columbia

Our Story

Eversheds Sutherland is an international top 10 law practice helping a global client base ranging from small and mid-sized businesses to the largest multinationals solve their biggest challenges and reach their business goals. Dedicated to unfaltering excellence in client service, we are known for our business savvy and industry intelligence, providing creative and custom solutions for each of our clients. Industry and business experience makes the difference for our clients.

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BDCs in 2023: Gearing up for the year ahead
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