Brian Rubin

I am a partner and co-head of Securities Enforcement at Eversheds Sutherland in Washington, DC, and chair our US Pro Bono Committee.I was Enforcement Deputy Chief Counsel at NASD (FINRA) and SEC Senior Enforcement Counsel, and now represent companies and individuals in enforcement investigations, proceedings, exams, and internal investigations.I have handled more than 200 SEC, FINRA and state examinations and investigations, negotiated 60+ FINRA settlements and dozens with the SEC and states, and won numerous no-action outcomes.I have successfully litigated against the SEC and FINRA, including a FINRA case that lasted 8+ years and was dismissed after two SEC appeals.I have led internal investigations, including a multi-agency insider trading investigation that led to criminal convictions of non-clients and no charges against my client.I also handled a Congressional investigation, resulting in no action.

Annually, I author a study on FINRA's sanctions and I co-authored NSCP's Firm and CCO Liability Framework.I’ve served as an expert witness and on the CFP Board's Adjudication Advisory Group.I was on the NSCP Board and now co-run the Broker-Dealer Forum and am on the Regulatory Advisory Committee.I am ranked by Chambers, Best Lawyers, Legal 500, and Super Lawyers, was named NSCP Currents Author of the Year in 2020, and received the Burton/Law360 Distinguished Legal Writing Award three times.I received my JD and MA in Economics from Duke and my BS from the Wharton School, University of Pennsylvania.

I am the 2026 recipient of the “JH Award,” NSCP’s highest honor recognizing exceptional lifetime contributions to the financial services compliance profession.I write regularly on enforcement and compliance for NSCP Currents including: Close Encounters of the FINRA Enforcement Kind; You Can't Handle the Truth: A Few Good Enforcement Actions; Offers They Can't Refuse: Enforcement Settlements; and Curb Your Enforcementism: SEC and FINRA Enforcement Cases.