Brian Rubin

Brian Rubin is co-head of the Eversheds Sutherland securities enforcement practice. With more than 25 years of experience in federal securities law, first prosecuting and now defending, Brian represents firms and individuals being examined, investigated and prosecuted by the SEC, FINRA, other self-regulatory organizations, and states. He also represents clients in litigation and arbitrations, and counsels them on regulatory and compliance matters. Brian was previously Deputy Chief Counsel of Enforcement at NASD (now FINRA) and Senior Enforcement Counsel at the SEC.

Brian has co-authored numerous studies about FINRA’s disciplinary actions and he co-authored the National Society of Compliance Professionals (NSCP) “Firm and CCO Liability Framework” and presented it to SEC Commissioners and FINRA leadership. Brian co-leads the NSCP’s monthly broker-dealer forum. Brian received his J.D. and his M.A. in Economics from Duke University and his B.S. degree from the Wharton School of Business of the University of Pennsylvania.