Brian Rubin
Partner and Co-Head, Securities Enforcement and Regulatory Investigations Practice, Eversheds Sutherland
Brian Rubin is a partner and co-head of the Securities Enforcement and Regulatory Investigations practice at Eversheds Sutherland.
With more than two decades of experience in federal securities law, Brian brings clients deep regulatory insight and a results-driven defense practice. As a former Deputy Chief Counsel of Enforcement at NASD (now FINRA) and Senior Enforcement Counsel at the SEC, he offers a rare insider’s perspective on navigating regulatory examinations, enforcement proceedings, and internal investigations.
Brian represents broker-dealers, investment advisers, asset managers, public companies, and individuals in high-stakes enforcement actions and examinations, including SEC, FINRA, and state regulatory matters. He has successfully resolved more than 60 FINRA matters and secured dozens of no-action outcomes and is nationally recognized for his annual study on FINRA’s sanctions. Brian also co-authored the NSCP’s Firm and CCO Liability Framework and has served as an expert witness in FINRA arbitrations and securities litigation.
A frequent speaker and prolific writer, Brian is ranked by Chambers USA and Best Lawyers in America for his work in securities enforcement and compliance. He received his J.D. and M.A. in Economics from Duke University and his B.S. from the Wharton School of Business at the University of Pennsylvania. Brian is also chair of the firm’s Pro Bono Committee.