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Brian L. Rubin

Partner

Washington

P: 202.383.0124 E: [email protected] Education

J.D., Duke University School of Law, Vice Chair, Moot Court Board First Place Team, Craven Cup National Moot Court Competition M.A., Duke University

B.S., cum laude, The Wharton School of the University of Pennsylvania

Bar Admissions

District of Columbia

Background

Brian Rubin is the Washington office leader of Sutherland’s Litigation group and the Administrative Partner in charge of the Securities Enforcement and Litigation Team. With more than 20 years of experience in federal securities law, first prosecuting and now defending, Brian represents clients being examined, investigated and prosecuted by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), other self-regulatory organizations and states. As former NASD (now FINRA) Deputy Chief Counsel of Enforcement and Senior Enforcement Counsel at the SEC, he brings an insider’s perspective to defending broker-dealers, investment advisers,

investment companies, public companies and individuals in examinations, investigations, enforcement proceedings, litigation, arbitrations and in counseling.

Recently, Brian represented firms and individuals on matters involving REITs, variable annuities, variable life insurance, mutual funds, advertising, email retention and surveillance, advisory accounts, insider trading, trade reporting, markups/markdowns, registration, privacy and supervision. He regularly litigates against regulators and claimants, counsels clients on regulatory and compliance matters, and conducts internal investigations.

Experience

 Defeated the SEC in a trial on behalf of an independent broker-dealer and its president in an enforcement action relating to the supervision of the sale of mutual funds.

 Convinced the SEC, FINRA, a state securities commission and the U.S. House of

Representatives Committee on Education and Labor to close investigations into a broker-dealer and insurance company's revenue sharing and marketing payments.

 Advised a broker-dealer in its response to an SEC cybersecurity examination request, resulting in no action by the SEC.

 Advised a broker-dealer/investment adviser on assessing and self-reporting a cybersecurity breach, and neither the SEC nor FINRA pursued an investigation.

 Appealed successfully to the SEC a FINRA decision finding that two registered representatives engaged in illegal private securities transactions.

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 Achieved a reduction in penalties against a broker-dealer, its chief compliance officer and another principal in one of the first cases involving FINRA's variable annuity suitability rule.

 Convinced FINRA to drop dozens of charges and significantly reduce the sanction in one of FINRA's investigations into sales and marketing practices of non-traded REITs.

 Convinced FINRA to close an anti-money laundering case against a broker-dealer CCO and settled the case for the broker-dealer.

 Convinced FINRA that a broker-dealer's sales of a gold certificate program did not constitute illegal sales of securities.

 Settled favorably an investigation of a major options broker-dealer by the Chicago Board of Options Exchange into net capital issues.

 Multifaceted eleventh-hour settlement favors Morgan Keegan & Company Inc.

 Negotiated the successful resolution of a FINRA investigation of a broker-dealer's internal investigation of a Ponzi scheme where the victims lost approximately $380 million.

 Defended a broker-dealer and its chief compliance officer in a large FINRA investigation that was settled on favorable terms.

 Defended in trial a broker-dealer against SEC allegations that the firm violated Regulation S-P through its recruiting practices and convinced the ALJ to order a reduced penalty.

 Conducted an internal investigation of a privately held company following the "noisy" withdrawal of its general counsel, who made allegations about the company and its chairman to the SEC and FINRA.

 Negotiated settlements of fee-in-lieu of commission cases on behalf of two different bank-affiliated broker-dealers.

 Defended a dually registered broker-dealer and investment adviser in a two-year Department of Labor investigation of compensation and sales practices, resulting in no action by the DOL.

 Won asylum for a pro bono client, a former Iraqi Ministry of Health official who received death threats after refusing to aid and cover up the torture of civilians and after testifying against high-ranking military leaders.

 Won a pro bono case awarding disability benefits to a client who suffers from medical and psychological impairments and who had previously been denied benefits.

 Defended successfully a broker-dealer in DOL investigations under its Consultant/Adviser audit program.

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Awards

 Named to The Best Lawyers in America in the areas of securities law (2008-2011), litigation – securities (2012-2016) and securities regulation (2012-2016) and selected for inclusion in

Washington, D.C., Super Lawyers® in the area of securities litigation (2012-2016)

 Recipient, Highly Commended Award Winner by the Emerald Literati Network for co-authoring “FINRA’s Sanctions in 2009: A Sign of Things to Come?” published in the November 2010 issue of the Journal of Investment Compliance (2011)

 Recipient, Burton Award for Legal Achievement for co-authoring “The House That the Regulators Built: An Analysis of Whether Respondents Should Litigate Against NASD,” published in the May 2005 issue of BNA’s Securities Regulation & Litigation Report (2006)

 Fellow, Litigation Counsel of America

Professional Activities

 Member, Board of Advisors, Bloomberg BNA’s Securities Regulation & Law Report

 Member, Board of Advisors, Securities and Exchange Commission Historical Society

 Member, 2010 Editorial Advisory Board, Securities Law360

 Member, Editorial Board, Journal of Securities Law, Regulation & Compliance

 Member, Editorial Advisory Board, Practical Compliance and Risk Management for the Securities Industry

 Member, Editorial Board, Journal of Investment Compliance

 Former Member, Board of Directors, Kids Enjoy Exercise Now (K.E.E.N.) Foundation, Inc., a nonprofit organization with branches in the United States and England that provides free recreation opportunities to children with severe and profound disabilities

 Former Member, Board of Directors of SEEC Corporation, a nonprofit organization that provides employment, housing, recreational and therapeutic support for adults with developmental

disabilities Articles

 Cybersecurity Enforcement Actions: Is the SEC Bringing Strict Liability Cases? (June 2016) Journal of Investment Compliance

 Harry Potter and the Compliance Stone: SEC and FINRA Enforcement Actions Against Compliance Officers (May-June 2016)

Practical Compliance and Risk Management for the Securities Industry

 Annual Sutherland Analysis of FINRA Cases Reveals Increased Sanctions in 2015 (April 2016) Wall Street Lawyer

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 The Final Rule: DOL’s Expanded Definition of Investment Advice Fiduciary Under ERISA and Revised Complex of Exemptions (April 12, 2016)

 Annual Sutherland Analysis of FINRA Cases Reveals Increased Sanctions in 2015 (March 2016)

NSCP Currents

 Five Key Steps to Take if your Company Experiences a Cybersecurity Attack (February 29, 2016)

ABA Section of Litigation, Corporate Counsel Committee

 New Year Resolutions for a Happy, Healthy and (Hopefully) Enforcement-Free 2016 (January-February 2016)

Practice Compliance and Risk Management for the Securities Industry

 Shaken Not Stirred: SEC and FINRA Disciplinary Actions Against Compliance Officers (November-December 2015)

 2015 Amendments to the Federal Rules of Civil Procedure (November 24, 2015)

 Don’t be a Turkey: Recipes for a Successful and (Hopefully) Cyberattack-Free Thanksgiving (November 2015)

NSCP Currents

 FINRA’s Projected 2015 Fines: Not Keeping Pace With 2014’s Total, But Still an Emmy-Winning Year (October/November 2015)

Wall Street Lawyer

 Another Home Run for FINRA in 2015 (October 21, 2015) Law360

 The SEC’s Cybersecurity Enforcement Action: Rulemaking by Enforcement (September 30, 2015)

Law360

 2014 FINRA Analysis: A Blockbuster Year for Fines (July 7, 2015) Journal of Investment Compliance

 Cybersecurity for Securities Firms: Batten Down the Hatches and Get Your Shark Cage Ready Because "Only the Paranoid Survive" (July 2, 2015)

Law360

 Compliance Wars: SEC and FINRA Disciplinary Actions against Chief Compliance Officers and In-House Counsel in a Galaxy Not Too Far Away (May-June 2015)

 FINRA Had Blockbuster Year in Fines (April 2015) The Wall Street Lawyer

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 New Year’s Resolution for Securities Firms: Cyber-Fitness (January 12, 2015) Law360

 2015 Top 10 Cybersecurity Resolutions for the New Year (December 2014) NSCP Currents

 The Good, the Not-So-Good, and the Ugly: The SEC and NASAA Indicate That Not All Firms May Be Ready to Tell Cyberattackers (and Regulators) to “Go Ahead, Make my Day”

(November 2014) Wall Street Lawyer

 Catching Fire During Regulatory Hunger Games: SEC and FINRA Disciplinary Actions against Chief Compliance Officers and In-House Counsel (November-December 2014)

Practical Compliance & Risk Management

 Eight Days a Week and Eight Ways to Reboot Your Cybersecurity Program; How All Firms Can Benefit from SIFMA’s New Cybersecurity Guidance (September 26, 2014)

Bloomberg BNA – Securities Regulation & Law Report

 How Brokers & Asset Managers Can Stay On Top (September 2014) Institutional Investor Intelligence

 How Firms Score When They Take on the SEC or FINRA (July 10, 2014) Law360

 Not Quite the Hunger Games: Chief Compliance Officers and In-House Counsel Fighting for Their Lives in SEC and FINRA Disciplinary Actions (May 22, 2014)

Practical Compliance & Risk Management for the Securities Industry

 Litigating Against FINRA: ‘Toto, I’ve a Feeling We’re Not in Kansas Anymore’ (May 12, 2014) Bloomberg BNA Securities Regulation & Law Report

 What to Expect from SEC, FINRA Cybersecurity Enforcement (May 5, 2014) Law360

 FINRA’s Fines Involving Electronic Communications Skyrocketed in 2013 (April 2014) Wall Street Lawyer

 FINRA Sanctions Analysis for 2013 (March 2014) Insights: The Corporate & Securities Law Advisor

 Finra's amended Rule 8210: Where does it end? (October 13, 2013) InvestmentNews

 CCOs and In-House Counsel Who Got Whacked: SEC and FINRA Disciplinary Actions Against Chief Compliance Officers and In-House Counsel (September-October 2013)

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 FINRA's amended Rule 8210: "No Documents for You?" (July 1, 2013) Law 360

 FINRA's Disciplinary Actions in 2012: Trends and Analysis (June 2013) The Investment Lawyer

 The Social Network Unhinged (June 2013)

Reprinted with permission from Banking & Financial Services Policy Report

 FINRA FOCUS: 2012 Research Analyst & Research Report Cases (May 2013) Wall Street Lawyer

 The Girl Who Kicked The Regulator's Nest: SEC and FINRA Disciplinary Actions Against CCO's and In-House Counsel (July - December 2012) (March-April 2013)

Practical Compliance & Risk Management for the Securities Industry

 Recent Court Order Reminds Firms To Review for Privilege-Or Face the Consequences (January 1, 2013)

 Summary of selected sessions from "The SEC Speaks in 2013" (2013) Journal of Investment Compliance, Vol. 14, No. 2

 Stepping Into the Ring Against the SEC and FINRA: Sometimes It Pays to Duke It Out Against the Regulators (Winter 2012)

Reprinted with permission from Securities Regulation Law Journal

 Welcome to the Party? FINRA Invites Investment Advisers to Utilize its Arbitration Procedures (December 3, 2012)

Investment Adviser Association Newsletter

 FINRA's 2011 Enforcement Record, Priorities, and Trends (September 2012) Reprinted with permission from Journal of Investment Compliance

 Resolved: FINRA Should Review These 10 Outdated Rules (July 20, 2012) Reprinted with permission from AdvisorOne

 Understanding FINRA's Suitability Rules: Possible Enforcement Actions (July 11, 2012) On Wall Street

 Understanding FINRA's New Rules: Knowing-Your-Customer and Practical Considerations on Suitability (July 10, 2012)

On Wall Street

 Ready or Not, Here Comes FINRA's New Rules on Suitability (July 9, 2012) On Wall Street

 'Like' It Or Not: Broker-Dealers And Social Media Access (June 28, 2012) Law360

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 The Girl Who Played with SEC and FINRA Fire: SEC and FINRA Disciplinary Actions Against In-House Counsel and Chief Compliance Officers (June 2011-June 2012) (June 2011-June 2012)

Reprinted with permission from Practical Compliance & Risk Management for the Securities Industry

 An Analysis of Current Laws and Regulations Affecting the Securities and Futures Industries (April 11, 2012)

Securities & Commodities Regulation

 Getting to Know You: Getting to Know All About FINRA's New Suitability & Know-Your-Customer Rules (April 2012)

The Wall Street Lawyer

 SEC and FINRA: Priorities and Enforcement Trends (April 2012) Securities & Commodities Regulation

 Who's Calling the Plays? Liability of BD and RIA Presidents and CEOs in 2011 SEC Actions (November 2011)

Wall Street Lawyer

 Ask An Attorney: Enforcement Cooperation (November 3, 2011) Compliance Reporter

 The Girl with the SEC/FINRA Tattoo: Disciplinary Actions Taken Against Chief Compliance Officers (November 2010-June 2011) (September-October 2011)

Reprinted with permission from Practical Compliance and Risk Management for the Securities Industry

 Brokerage CEOs in the Crosshairs (August 31, 2011)

Reprinted with permission from Securities Technology Monitor

 Revisiting FINRA's Class Waiver Policy Post-AT&T (August 31, 2011) Law360

 The Buck Stops...Where? Liability of Presidents And Chief Executive Officers in SEC and FINRA Enforcement Actions (August 8, 2011)

Reprinted with permission from BNA Securities Regulation & Law Report

 Swinging for the Fences: An Analysis of Whether Broker-Dealers and Registered Representatives Should Litigate Against the SEC or FINRA (August 2011)

Reprinted with permission from The Investment Lawyer

 FINRA Enforcement - Analysis and Trends (May-June 2011)

 Does FINRA Accurately Seed Enforcement Issues? (May 17, 2011) Reprinted with permission from Securities Law360

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 Sometimes It Pays for Broker-Dealers and Registered Reps to Take on Regulators, Study Shows (April 2011)

Reprinted with permission from Wall Street Lawyer

 Supervising Reps' Outside Activities (February 7, 2011) Reprinted with permission from Compliance Reporter

 While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers (Again) (January-February 2011)

 FINRA’s Sanctions in 2009: A Sign of Things to Come? (November 2010) Journal of Investment Compliance

 While You Were Complying: SEC and FINRA Disciplinary Actions Taken Against Chief Compliance Officers (October 2010)

 FINRA Restricts Internal Use Only (October 1, 2010) Market Solutions

 Annual Review of FINRA Sanctions Finds Disciplinary Slowdown Began to Reverse in 2009 (August 2010)

 Should Broker-Dealers Self Report? (May 19, 2010) Reprinted with permission from Securities Law360

 The Evolution of FINRA E-Mail Disciplinary Cases (April 19, 2010) Reprinted with permission from Law360

 FINRA's Take On Internal Communications (February 18, 2010) Reprinted with permission from Securities Law360

 FINRA 2008: An Oscar Winning Year? (Fall 2009)

Reprinted with permission from Securities Regulation Law Journal

 Post-Madoff: What to Expect from the Regulators (May 1, 2009) On Wall Street

 Litigating Disciplinary Charges Against the SEC and FINRA: It Sometimes Pays (April 2009) Reprinted with permission from Journal of Investment Compliance

 Here Comes the Sun[dstrand]: The "Good Faith" Defense in Securities Fraud Cases (February 2009)

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 What It Takes To Receive Credit from FINRA for Extraordinary Cooperation (February 2009) February 2009 Reprinted from the Wall Street Lawyer. Copyright 2009 Thomson Reuters. For more information about this publication please visit www.west.thomson.com.

 For The New Year, Proposed Resolutions For FINRA (January 11, 2009) Investment News

 Without admitting or denying - and then what? (December 28, 2008) Reprinted with permission from FSI Voice

 Still Blinded by Sundstrand: The Applicability of the "Good Faith" Defense in Securities Fraud Cases (December 23, 2008)

Reprinted with permission from The Judicial View

 Getting credit from FINRA for extraordinary cooperation: what does it all mean? (December 17, 2008)

Reprinted with permission from Complinet

 Money: Investment Scams and What Firms May Be Able To Do About Them (September/October 2008)

 Sometimes It Pays to Litigate Against FINRA, Study Says (June 2008) Wall Street Lawyer

 It Sometimes Pays to Litigate Against FINRA (May 2008)

Reprinted with permission from InSights: The Corporate & Securities Law Advisor

 Blinded By Sundstrand: The 'Good Faith' Defense (April 28, 2008) Reprinted with permission from Securities Law360

 Study Finds That It Sometimes Pays to Litigation Against FINRA (November 1, 2007) Securities Litigation Report

 What's in a Name? Enforcement Trends and Possible Implications for FINRA (October 3, 2007) Reprinted with permission from The Review of Securities & Commodities Regulation

 In Focus: FINRA's Sweep Targets Professional Designations Involving Seniors (September 19, 2007)

Reprinted with permission from Complinet

 Tips for the Newlywed Regulators (March 12, 2007) Reprinted with permission from The National Law Journal

 How To Succeed at Settling SEC and NASD Enforcement Actions (December 2006) Reprinted with permission from Insights Magazine

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 Practical Pointers for Regulatory Examinations (August 21, 2006) Reprinted with permission from Investment News

 Inadvertent Production of Privileged Documents: Avoiding Or Addressing The Problem (April 24, 2006)

Reprinted with permission from Compliance Reporter

 Unless They Make You an Offer You Can't Refuse: Litigating Against NASD and the NYSE (January 2006)

Reprinted with permission from Wall Street Lawyer

 Cooperation, Only More So: What it Takes to Receive Credit for Cooperating with NASD (October 24, 2005)

Reprinted with permission from Securities Regulation & Law Report

 Handling SEC/SRO Investigations (2005) Broker-Dealer Regulation

Presentations

 Exploring the Latest Federal Regulatory Trends Affecting Variable Products and Underlying Funds (June 7, 2016)

IRI Government, Legal & Regulatory Conference

 Securities Litigation and Enforcement (May 16, 2016)

Association of Life Insurance Counsel (ALIC) Annual Meeting

 Webcast: DOL Fiduciary Rule – Implementation Planning and Timetable (May 10, 2016)

 Roundtable Discussion: Final DOL ERISA Fiduciary Definition and Related Exemptions (May 4, 2016)

 Lessons Learned from Enforcement Issues - Ouch! That Hurt (Them) (May 2, 2016) NSCP Chicago Regional

 Recent FINRA and SEC Exams (April 19, 2016) RegEd Annual Compliance Alliance Conference

 2015 FINRA Enforcement: Firms Give up Even More Green Because FINRA Found a New Pot O' Gold (March 17, 2016)

Financial Services Institute

 Core Compliance: Policies, Procedures and Trainings (March 16, 2016) SIFMA Compliance and Legal Society Annual Seminar

 Webcast: ACA Compliance Group and Bank Insurance & Securities Association, Bank Broker-Dealer Compliance Roundtable

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 FINRA Enforcement Update (February 29, 2016) SIFMA, Compliance and Regulatory Policy Committee

 Webcast: SEC and FINRA (February 26, 2016) First Clearing Compliance Symposium

 Dual-Registrants/Broker-Dealers: FINRA Exam & Enforcement Priorities (February 25, 2016) IA Watch’s “IA Compliance The Full 360° View"

 Webcast: BICE and Other Four-Letter Words: Litigation and Enforcement Under the DOL Fiduciary Proposal (February 24, 2016)

 SEC & FINRA Exam Priorities & Enforcement Trends (January 28, 2016) SIFMA Compliance and Legal Society Denver Regional Seminar

 Cybersecurity (January 26, 2016)

Financial Services Institute - OneVoice 2016

 Cybersecurity: Dealing with Technology, Regulators and Clients (January 22, 2016) Financial Planning Association of the National Capital Area

 Webcast: What Every GC, CFO and CCO Needs To Know About Data Breach Response (January 7, 2016)

 Webcast: Compliance Current Affairs - A Webinar on FINRA Enforcement, Cybersecurity, Rule 3a-4 and AML for RIAs (December 9, 2015)

MyComplianceOffice

 Webcast: FINRA Rule Changes: Know Your Customer and Suitability (November 8, 2015)

 Cybersecurity – Practical Applications for Compliance (November 3, 2015) National Society of Compliance Professionals National Conference

 Navigating Marketing and Distribution (October 14, 2015)

NRS 30th Fall Investment Adviser and Broker-Dealer Compliance Conference

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Identifying Conflicts for Broker-Dealers (October 13, 2015)

NRS 30th Fall Investment Adviser and Broker-Dealer Compliance Conference

 CCO/CLO Roundtable: Dealing with Cybersecurity Risks (October 9, 2015) Financial Services Industry Regulatory Compliance & Ethics Forum

 Compliance and Legal Supervisory Liability (October 9, 2015) Financial Services Industry Regulatory Compliance

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 Insider Trading (September 25, 2015) In-house Presentation for Client

 Cybersecurity: The Essential Building Blocks for Minimizing Prevalent Risks (September 21, 2015)

IA Watch

 Cybersecurity and Compliance Liability (August 6, 2015) In-house Presentation for Client

 Regulatory Reach & Over-reach (July 16, 2015)

American Council of Life Insurers - Compliance & Legal Sections Annual Meeting

 Fasten Your Cyber Belts – It’s Going to be a Bumpy Night: Results from the Sutherland-FSI Cybersecurity Survey (June 4, 2015)

Sutherland-FSI Webcast

 FINRA’s Disciplinary Actions in 2014; Sneak Peek at 2015; and Other SEC and FINRA Enforcement Developments (June 3, 2015)

SIFMA’s General Counsels’ Committee

 Cybersecurity is More than a Buzzword (May 7, 2015) NSCP Regional Conference

 Important Insights from Recent FINRA and SEC Exams (May 5, 2015) RegEd Compliance Alliance (RCA) Conference

 A Blockbuster Year for FINRA: 2014 Enforcement Statistics and Trends (April 22, 2015) TerraNua

 The Legal Perspective: Retaining and Supervising Electronic Communications for Regulatory Compliance (April 14, 2015)

Smarsh

 Cybersecurity is More than a Buzzword (April 9, 2015) NSCP Regional Conference

 Core Compliance Programs and Practices (March 17, 2015) SIFMA Compliance and Legal Society Annual Seminar

 FINRA Enforcement Trends (February 23, 2015) SIFMA Compliance and Regulatory Policy Committee

 Cybersecurity: Tried and True Tactics for Assessing and Managing Risks, Employee Training and Program Testing (February 18, 2015)

IA Watch

 FINRA Hot Topics for 2015 (February 18, 2015) ACA Compliance Group

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 NBI Consumer Finance Law Seminar (December 5, 2014)

 FINRA and SEC Enforcement Trends and Update (October 30, 2014) Financial Services Institute

 Compliance and Legal Supervisory Liability (October 29, 2014)

Financial Services Industry Regulatory Compliance & Ethics Forum 2014

 Insider Trading and Manipulative Market Practices (October 21, 2014) NSCP National Conference 2014

 2014 National Society of Compliance Professionals (NSCP) Conference (October 20-22, 2014)

 Variable Annuity and Variable Life Enforcement Trends (September 24, 2014) Insured Retirement Institute

 FINRA Enforcement Statistics and Trends (September 23, 2014) Compliance Forum

 CCO Liability (September 23, 2014) Compliance Forum

 CCO Liability (September 19, 2014)

Financial Tracking Annual Global Users Conference

 Financial Services In-House Counsel Panel (September 12, 2014) The Network of Trial Law Firms Financial Services

 FINRA Enforcement Statistics and Variable Annuity Issues (July 29, 2014) Committee of Annuity Insurers

 Data Security – Securing Today (July 1, 2014)

Insured Retirement Institute Government Legal & Regulatory Conference

 FINRA Arbitration and Enforcement Actions (July 1, 2014)

Insured Retirement Institute Government Legal & Regulatory Conference

 Cybersecurity: Practical Advice for an Effective Program and What to Do When Regulators Come Knocking (June 27, 2014)

 SEC and FINRA Enforcement Statistics (May 16, 2014) Wells Fargo Securities Summit

 Retaining and Supervising Electronic Communications for Regulatory Compliance (May 14, 2014)

Sutherland webcast done in conjunction with Smarsh

 FINRA and SEC Enforcement Trends and Update (May 8, 2014) Financial Services Institute

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 Here's Looking at You CCOs: Unexpected Enforcement Lessons from Casablanca (May 6, 2014)

Sutherland webcast in conjunction with the National Society of Compliance Professionals

 SEC and FINRA Exams and Enforcement (April 30, 2014) 2014 Atlanta Compliance Roundtable

 Cyber Security, Data Protection & Business Continuity (April 29, 2014)

National Society of Compliance Professionals 2014 New York Regional Conference

 Whistleblowers and CCO Liability (April 25, 2014)

Financial Markets Association's 23rd Annual Securities Compliance Seminar

 Compliance and Enforcement Hot Topics (April 23, 2014)

Financial Markets Association's 23rd Annual Securities Compliance Seminar

 Social Media Emerging Issues, Innovation and Ongoing Challenge (April 1, 2014) SIFMA Compliance & Legal Society Annual Seminar

 Regulation S-ID: Identify Theft and Cybersecurity (March 27, 2014) ACA’s Spring 2014 Compliance Conference

 Practical Tips for Surviving and SEC Examination (March 26, 2014) ACA’s Spring 2014 Compliance Conference

 Here’s Looking at You CCOs: Unexpected Enforcement Lessons from Casablanca (February 26, 2014)

Financial Services Institute Webinar

 FINRA Enforcement Trends (February 24, 2014) SIFMA Compliance and Regulatory Policy Committee

 FINRA: An Analysis of Disciplinary Actions and Amended Rule 8210 (January 8, 2014) ALI-CLE Broker-Dealer Regulation Program

 Here's Looking at You, CCOs: Unexpected Enforcement Lessons from Casablanca (December 11, 2013)

ICI Securities Law Developments Conference

 Enforcement Trends (December 5, 2013) Financial Services Institute webinar

 SEC and FINRA Exams and Enforcement (November 13, 2013) ALI-CLE Conference on Life Insurance Company Products

 Broker-Dealer: Enforcement Issues (October 21, 2013)

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 CCO and General Counsel Liability (October 15, 2013) BD Week Webinar

 Litigating Against FINRA and the SEC (September 20, 2013) Network of Trial Law Firms Financial Services CLE SuperCourse

 CCO’s Under Siege (September 20, 2013)

Network of Trial Law Firms Financial Services CLE SuperCourse

 FINRA Arbitration and Enforcement Actions (June 18, 2013)

Insured Retirement Institute (IRI) Litigation Summit, Government Legal & Regulatory Conference

 SEC, NAIC, and FINRA Examination & Enforcement Trends (June 17, 2013)

Insured Retirement Institute (IRI) Litigation Summit, Government Legal & Regulatory Conference

 Communications with the Public and Social Media (June 11, 2013) Sutherland Securities Symposium

 SEC and FINRA Enforcement Actions: Where Have We Been and Where Are We Going? (May 13, 2013)

IPA Spring 2013 Conference

 Express Seminar - Analysis of FINRA's Recent Disciplinary Actions (May 2, 2013) Sutherland Quick Call

 Top 10 Things CCOs May Want to Keep in Mind (April 22, 2013) Compliance Forum

 2012 FINRA Disciplinary Actions: Update and Analysis (April 22, 2013) Compliance Forum

 Crisis Management (April 10, 2013 - April 12, 2013) ACA Spring 2013 Compliance Conference

 Highlights from FINRA Enforcement Actions Study (March 25, 2013) SIFMA Compliance & Regulatory Committee Meeting

 Supervision of Remote Branch Offices – Challenges Faced by the Independent BD (January 29, 2013)

FSI OneVoice Conference

 Responding Effectively to Regulatory Exams and Investigations (December 2012) In-House Webinar for Client

 Responding Effectively to Regulatory Exams and Investigations, Insights from FINRA (December 2012)

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 ‘Hot’ Enforcement Issues (December 2012)

Tampa Bay Area Sutherland Securities Symposium

 Current Regulatory Issues in Atlanta (October 2, 2012) ACA: Atlanta Compliance Roundtable Meeting

 FINRA Disciplinary Actions: Update and Analysis (October 2, 2012) Atlanta Compliance Roundtable

 How to Negotiate a Settlement with the SEC (October 2012) Association of Corporate Counsel’s 2012 Annual Meeting

 Packed Just Right (September 30, 2012 - October 3, 2012) ACC 2012 Annual Meeting

 SEC and FINRA Enforcement Actions (September 14, 2012) FINRA CLE SuperCourse

 Unless They Make You an Offer You Can’t Refuse: Litigating Against FINRA and the SEC (September 2012)

The Network of Trial Law Firms, FINRA CLE SuperCourse

 SEC and FINRA Enforcement Actions (September 2012) The Network of Trial Law Firms, FINRA CLE SuperCourse

 FINRA Disciplinary Actions: Update and Analysis (September 2012) In-House Program for Client

 FINRA Disciplinary Actions: Update and Analysis (September 2012) In-House Webinar for Client

 Legal Project Management (August 2012) In-House Program for Client

 Top 10 for 2012: 10 Pending Developments All Wealth Management/ Compliance Lawyers Should Be Watching (March 2, 2012)

Wealth Management/HIMCO Law and Compliance Law Day

 Hot Topics in Compliance (March 2, 2012)

 Hot Topics in Litigation (March 2, 2012)

 OSJ Call: How to Handle Regulators (March 2012) In-House Webinar for Client

 Privacy Risk Management: Information Security (March 2012) The Ascendant Compliance Conference

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 Latest Trends and Hot Issues in Securities Enforcement (February 2012) Sutherland Securities Symposium

 Risk: How to Serve the Growing Needs of Clients and Advisors While Managing Organizational Risk (January 23, 2012)

One Voice 2012: Financial Services Institute Annual Broker-Dealer Conference

 Credit for Extraordinary Cooperation and Good Behavior? Dealing with Enforcement When a Sanction Looms (December 7, 2011)

BC Week Webinar

 Balancing the Job of CEO and CCO (November 14, 2011) NAIBD 2011 Fall Symposium

 Broker-Dealer/Investment Adviser Compliance Roundtable (October 26, 2011) Atanta Broker-Dealer/Investment Adviser Compliance, ACA Compliance Group

 Compliance Innovation to Manage Risk (October 14, 2011) 2011 Pittsburgh Financial Services Symposium

 OCIE in the Post-Madoff Environment: Examiners with Attitude (October 3, 2011 - October 4, 2011)

Sixth Annual National Institute on Securities Fraud

 The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation (September 23, 2011)

ALI-ABA

 CCO Liability (September 12-14, 2011)

ACA Compliance Group Fall 2011 Compliance Conference

 Who’s Minding The Store? Liability of Compliance & Legal Officers (July 18, 2011) Webinar

 CLO/CCO Liability as Supervisors (July 7, 2011) Webinar

 State and Federal Examination Updates and Best Practices (June 26-28, 2011) Insured Retirement Institute

 CLO/CCO Liability as Supervisors (June 10, 2011) Sutherland Seminar

 Getting the Jump on Sweeping Changes to FINRA's Complaint and Violation Reporting Rules (May 16, 2011 - May 19, 2011)

NRS Education 26th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference

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 Legal Quick Hit: General Counsel and Chief Compliance Officer Supervisory Liability (April 27, 2011)

Association of Corporate Counsel Financial Services Committee’s Monthly Call

 General Counsel and Compliance Officer Liability (April 26, 2011) Tampa Bay Broker-Dealer Compliance Group Meeting

 Sutherland Securities Symposium (April 12, 2011)

 Surviving the New and Improved SEC Examination Program for 2011 (March 2, 2011 - March 4, 2011)

ACA Compliance Group & ACA Insight Spring 2011 Compliance Conference

 Setting RIA Firms Up For Success in a Fiduciary World (January 31, 2011) OneVoice 2011: FSI Broker-Dealer Conference

 ALI-ABA The Financial Services Regulatory Revolution: Navigating the New World of Broker-Dealer and Investment Adviser Regulation, Supervision, and Sales Practices (October 21-22, 2010)

 Providing Business and Development Tools for Independent Broker-Dealers (October 19, 2010)

National Association of Independent Broker/Dealers 2010 Fall Symposium: Providing Business and Development Tools for Independent Broker-Dealers

 Data & Information Safeguarding (September 22, 2010 - September 24, 2010) ACA Compliance Group 2010 Compliance Conference

 Enforcement and Regulatory Update (August 18, 2010) Tampa Bay Broker-Dealer Compliance Group Meeting

 SEC Examinations of Investment Advisers – Are You Ready? (July 13, 2010) Seminar

 Setting Your Expectations for the FINRA & SEC Exam Priorities: How Ready Are You? (June 10, 2010)

Complinet Risk & Compliance Forum

 Changing Landscape of Broker-Dealer Branch Office Audits (April 19-22, 2010)

NRS Education’s 25th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference

 Developments in Broker-Dealer Advertising (April 19-22, 2010)

NRS Education’s 25th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference

 Real Estate Funds and Alternative Investments: Impact of Recent FINRA Developments (March 25, 2010)

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 Privacy Safeguards (February 18, 2010) ACA Compliance Webinar

 A Look into the 2010 Regulatory Environment (December 3, 2009) Financial Planning Association

 Compliance & Regulation: Do YOU Comply? (November 16, 2009) Financial Behavior in Retirement Summit

 A New Foundation: The Obama Regulatory Plan (June 24, 2009) Webinar

 New Trends in Regulatory Exams and Best Practices for Dealing With Regulators (June 9, 2009)

Webinar

 Building a Successful SEC Exam Strategy (April 26, 2009 - April 29, 2009) National Regulatory Services (NRS) Annual Spring Compliance Conference

 How to Prepare and Manage an SEC Examination (April 22, 2009 - April 24, 2009) ACA Spring 2009 Compliance Conference

 Sutherland Securities Symposium (April 21, 2009)

 The New Regulation S-P – Safeguarding Provisions Enhanced (March 18, 2009 - March 20, 2009)

Ascendant Compliance Management Conference Bridging the Gap: How to Implement Compliance Theory into Business Practice

 Financial Industry Regulatory Authority (FINRA) Sweep of Broker-Dealer Referrals of Investment Advisory Services (January 29, 2009)

Webinar

 Regulatory & Legislative Hot Topics for RIAs: What to expect in the coming year (January 28, 2009 - January 30, 2009)

OneVoice 2009: Financial Services Institute (FSI) Broker-Dealer Conference

 Rule 3110: Opening Gates for Optimum Corporate Performance (January 27, 2009) Knowledge Congress Webinar

 2009 Industry and Regulatory Outlook (January 14, 2009) Investment Adviser Roundtable

 NASD 3110: Opening Gates for Optimal Corporate Performance (January 6, 2009) Webinar

 Understanding Regulation S-P: Privacy of Consumer Financial Information (November 19, 2008)

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 Insider Trading and Informational Barriers (November 17, 2008) Webinar

 Ethics, Regulation & Compliance (November 13, 2008 - November 14, 2008) Financial Behavior in Retirement Conference

 Sutherland Securities Symposium (October 30, 2008)

 FINRA/SEC Compliance and Enforcement: The Changing Broker-Dealer and Adviser Regulatory Landscape – Staying Ahead of the Curve (September 18-19, 2008)

American Law Institute – American Bar Association (ALI-ABA) Program

 Fundamentals of Broker-Dealer Compliance (September 16, 2008) Webinar

 Regulation S-P (September 8, 2008 - September 10, 2008) ACA's Fall 2008 Compliance Conference

 FINRA Sweep Examination of Auction Rate Securities (August 28, 2008) Sutherland-Financial Services Institute Conference Call

 ARS Sweep (August 27, 2008)

Sutherland-Financial Services Institute Conference Call

 Sutherland Securities Symposium (July 31, 2008)

 Atlanta Bar Association, Litigation Section, Securities and Corporation Litigation Subsection Meeting (May 1, 2008)

 Independent Broker-Dealer Regulatory Forum (April 16, 2008)

 IQPC Third Annual Securities Litigation Conference (November 14-16, 2007)

 NAVA 2007 Compliance and Regulatory Affairs Conference (June 24, 2007 - June 26, 2007)

 Financial Advisor Supervision of Variable Annuity Sales (June 20, 2007) Financial Services Institute Web Conference

 Responding to the Regulators and SEC/SRO Enforcement Priorities (June 1, 2007)

Third Annual Advanced American Law Institute-American Bar Association Course of Study: SEC/NASD Compliance Conference

 Securities and Insurance Licensing Association (May 18, 2007)

 NASD Enforcement: Disciplinary Action, Procedures, Process and Recent NASD Cases (May 17, 2007)

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 Overview of the Securities Exchange Act of 1934 and Implications for Investment Advisers (February 15, 2007)

National Regulatory Services, Center for Compliance Professionals, Investment Adviser Compliance Certificate Program

 Dealing with Ethical Issues that Arise in Enforcement Investigations and Inspections (January 26, 2007)

13th Annual Advanced American Law Institute-American Bar Association Course of Study, Investment Adviser Regulation

 NASD Enforcement: Successfully Coping with NASD Investigations and Actions (November 2006)

IQPC Securities Litigation Conference

 Designing and Implementing an Effective Compliance Program for Mutual Funds, Investment Advisers, and Broker-Dealers (June 16, 2006)

American Law Institute-American Bar Association Course of Study, SEC/NASD Compliance

 Effective Management and Resolution of Arbitration and Litigation (January 23, 2006 - January 25, 2006)

The Financial Services Institute's 2006 Broker-Dealer Conference

 Managing NASD Disciplinary Proceedings (December 2005)

National Association of Securities Dealers (NASD) Institute for Professional Development

 Conducting Internal Investigations and Responding to SEC/NASD Inquiries (December 2005) Sutherland Asbill & Brennan's CCO Roundtable

 Protecting Your Client During NASD and NYSE Formal Charges and Disciplinary Hearings (October 2005)

ACI Broker/Dealer Enforcement Actions

 Non-Traditional Products (June 2005)

SIA Compliance and Legal Division: Chicago Regional Seminar

 Managing NASD Disciplinary Proceedings (May 2005)