Brian Rubin

Brian Rubin is the co-leader of the Washington, DC litigation group of Eversheds Sutherland (US) LLP and co-head of the SEC, FINRA and State Securities Enforcement Team. Brian defends companies and individuals being examined, investigated and prosecuted by the U.S. Securities and Exchange Commission, FINRA and states. He also represents clients in litigation and arbitrations, and counsels them on regulatory and compliance matters. Before joining Eversheds Sutherland, Brian was Deputy Chief Counsel with the NASD's Enforcement Department, where he managed attorneys and examiners throughout the country. Previously, he was Senior Counsel in the SEC's Division of Enforcement. 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.

5a. ALL – Examining Ethics: Enforcement Actions and Lessons Learned (Advanced)