Brian Rubin

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  Playing With Fire: CCOs and Lawyers Who Got Burned by Regulators

  By Melanie Waddell, AdvisorOne  |  October 12, 2012

  After analyzing disciplinary actions taken by the SEC and FINRA against CCOs and in-house counsel from June 2011 through June 2012, Sutherland found a slew of violations.

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  FINRA 2012 Fines to ‘Significantly Outpace’ 2011: Sutherland

  By Melanie Waddell, AdvisorOne  |  August 10, 2012

  “If fines continue to be assessed at this rate, 2012 will represent a 15% increase from the total fines reported by FINRA in 2011,” said Brian Rubin of Sutherland Asbill & Brennan.

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  FINRA at 5 Years: Highlighting 7 Areas of Action

  By Melanie Waddell, AdvisorOne  |  August 9, 2012

  Quite a bit has happened in those five years: billion-dollar frauds, a flash crash exposing major volatility issues and a bill supporting FINRA as advisors' SRO, to name a few developments.

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  FINRA Launches Conflict-of-Interest Sweep of BDs

  By Melanie Waddell, AdvisorOne  |  August 9, 2012

  FINRA says the sweep is just a way to “better understand” BDs' practices, but lawyers with BD clients suggest enforcement actions may be brewing.

• Broker Suitability Rule Takes Effect

  By Marlene Y. Satter, AdvisorOne  |  July 24, 2012

  A new FINRA rule on suitability of recommendations by brokerages and brokers to customers—and to prospective customers—took effect on July 9, and with it come a number of issues of which firms and advisors alike need to be aware.

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  FINRA’s New Suitability Rules: Half a Loaf, but…

  By Bob Clark, AdvisorOne  |  July 10, 2012

  ...they also show that the majority of brokers today are offering investment advice far beyond what any rational observer would categorize as “usual and incidental” to the sale of securities

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  Brokers, Get Ready: Suitability Rule Set to Take Effect

  By Marlene Y. Satter, AdvisorOne  |  July 5, 2012

  Firms that are already concerned about the recommendations made to clients based on their existing portfolios now have this new wrinkle: the prospective customer, lawyer Brian Rubin says.

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  FINRA on Pace to Match Record Enforcement Actions

  By Melanie Waddell, AdvisorOne  |  May 23, 2012

  FINRA brought a record number of enforcement cases in 2011—approximately 1,500—and is on pace to bring just as many cases in 2012.

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  FINRA’s Top 5 Enforcement Issues of 2011

  By Melanie Waddell, AdvisorOne  |  March 12, 2012

  A survey of FINRA sanctions by Sutherland Asbill focuses on the top enforcement issues in 2011, showing that fines jumped 51% over 2010, with more reps barred.

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  SEC’s Gallagher: Supervisor Definition Remains ‘Disturbingly Murky’

  By Melanie Waddell, AdvisorOne  |  February 27, 2012

  SEC Commissioner Daniel Gallagher signaled that he’d like the securities regulator to develop “clearer guidance” on the issue.