Brian Rubin
Partner
Sutherland
Brian L. Rubin is a partner in Sutherland’s Washington, DC, office where 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.
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. Previously, Brian was Senior Counsel in the SEC’s Division of Enforcement, where he investigated and prosecuted violations of federal securities laws.
Brian has been named to The Best Lawyers in America in the area of securities law. In addition, he received the Burton Award for Legal Achievement for co-authoring “The House That the Regulators Built: An Analysis of Whether Respondents Should Litigate Against NASD.” Brian received his J.D. and his M.A. in Economics from Duke University. He also graduated cum laude from the Wharton School of the University of Pennsylvania.