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Ben Marzouk

Partner

Ben is an investment services partner who counsels broker-dealers, investment advisers, investment funds, and insurance companies on securities regulations.

Ben’s expertise in securities regulation includes Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) laws, rules, and regulations, as well as state securities and insurance laws. He represents securities issuers and intermediaries in raising capital and navigating the complex rules for both public and private securities offerings.

With a deep knowledge of emerging trends in the financial services and asset management industries, Ben’s regulatory experience extends to digital assets, financial technology (FinTech) developments, cryptocurrency regulation, and the impact of blockchain technology on securities markets.

Ben routinely advises financial institutions on compliance with anti-money laundering (AML) laws and regulations, corporate mergers and acquisitions, rules surrounding changes in ownership, written supervisory procedures, and compliance programs. Ben also has more than 10 years’ experience counseling financial institutions on the distribution of a wide variety of investments, such as equities, bonds, mutual funds, exchange-traded funds, private funds, fixed and variable insurance contracts, business development companies, cannabis-related investments, and other alternative investments.

Before joining Eversheds Sutherland (US) as an associate, Ben participated in the firm’s Summer Associate program in 2010, where he assisted with financial services matters. He previously worked as an analyst for a global consulting firm where he conducted an analysis as part of a large-scale restructuring of the United States Army’s financial branch.

  • Advised a cryptocurrency company seeking to raise capital in US markets.
  • Advised a large insurance company on whether the company can accept cryptocurrency as payment, or hold cryptocurrency in its general account.
  • Advised an issuer of exchange-traded commodities funds exploring issuing a crypto fund registered under the Securities Act of 1933.
  • Drafted documents and agreements related to the distribution of a privately placed crypto ETF.
  • Counselled a large US financial institution purchasing crypto as a hedge against cash.
  • Represented Nassau Financial Group in an agreement to acquire Foresters Life Insurance and Annuity Company.
  • Advised financial institutions and payment processors providing services to cannabis businesses on potential liability under the Money Laundering Control Act and the Controlled Substances Act.
  • Fundamentals of Broker-Dealer Regulation, July 17, 2023, Practising Law Institute
  • Dual Registrant Regulatory Summit: Standard of Conduct – Where do we go from here? (April 20, 2021)
  • FINRA’s 2021 Examination and Risk Monitoring Program Report, February 25, 2021
  • 2020 Year in Review and 2021 Look Ahead, Part 2: Broker-Dealers, February 1, 2021,
    D.C. Bar
  • Empower Your Organization to Comply, November 11, 2020, La Meer Inc. 
  • Blockchain Use Cases for Financial Institutions, September 29, 2020
  • Gifts and Entertainment Compliance: Important Regulatory Developments and Best Practices in a Dynamic Environment, August 20, 2020, RegEd
  • Form CRS and Regulation Best Interest Implementation During COVID-19, June 11, 2020,
    DC Bar
  • Regulation Best Interest – Focus on Implementation, March 5, 2020, BISA 2020 Annual Convention
  • Advisers Act Regulatory Series: 2019 Fourth Quarter Update, December 12, 2019
  • Fireside Chat on Regulation Best Interest, November 6, 2019, BISA Regulatory & Compliance Summit
  • Hat switching, special challenges for dual registrants and documenting investment advice provided as an investment adviser, October 29, 2019, Envestnet
  • Advisers Act Regulatory Series: 2019 Third Quarter Update, September 26, 2019
  • Regulation Best Interest, August 28, 2019, ACA Compliance Group
  • RegEd Webcast: SEC Regulation Best Interest: What You Need to Know, August 22, 2019,
    RegEd
  • The SEC’s new standard of conduct rules – important considerations for bank-affiliated broker-dealers and investment advisers, July 23, 2019
  • Advisers Act Regulatory Series: 2019 Second Quarter Update, June 20, 2019
  • Briefing call: New SEC rule set on financial professional standard of conduct and fiduciary duty, June 7, 2019
  • Advisers Act Regulatory Series: 2019 First Quarter Update, March 19, 2019
  • The SEC’s Best Interest Standard: How We Got Here? And Where We’re Going? March 7, 2019, BISA Annual Convention
  • Chapter 10: Broker-Dealer Standard of Care, May 2017, Fundamentals of Broker-Dealer Regulation                                       
  • Named to the “Ones to Watch” list by The Best Lawyers in America in the area of corporate law (2021-2024)
  • Selected for inclusion in Washington DC, Super Lawyer® "Rising Stars" (2016-2023)
  • Named to the DC Bar Pro Bono Honor Roll (2013-2015)
  • Co-chair, IA-BD Subcommittee, DC Bar’s Corporation, Finance, and Securities Law Community
  • Member, ABA Business Law Section
  • Member, Business Development Committee, DC Bar’s Law Practice Management Section
  • District of Columbia
  • Virginia
  • B.A., magna cum laude, College of William and Mary
  • J.D., University of Virginia School of Law,

    President, William Minor Lile Moot Court Board, Editorial Board, The Virginia Journal of Social Policy & the Law

Ben Marzouk

Partner

Ben Marzouk

Partner

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