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National Association of Securities Dealers Deputy Chief Counsel Joins Sutherland

September 17, 2003

WASHINGTON (September 17, 2003) – Sutherland Asbill & Brennan announced today that Brian L. Rubin has joined the firm as a partner in the Financial Services and Securities Enforcement practice.  Most recently, Rubin was Deputy Chief Counsel, Department of Enforcement for the National Association of Securities Dealers (NASD).

At the NASD, Rubin managed attorneys and examiners in the Washington, DC, home office and in the district offices.  He investigated and prosecuted broker-dealers, registered representatives, and associated persons for violations of federal securities laws and NASD rules.  Rubin was involved in some of the NASD's highest profile enforcement actions, including the $1.4 billion global research analyst/investment banker settlement and the NASD's largest variable insurance products sales practice cases.  He has also handled cases involving supervisory structure, advertisements and sales literature, and mutual fund sales.  While at the NASD, Rubin handled all phases of investigations, trial and appellate litigation.  In September 2002, Rubin received the Excellence in Service Award for outstanding commitment and superior performance in support of NASD.  He also received the NASD President's Award for outstanding performance and dedicated service in December 2002, September 2001 and July 1999.

Previously, Rubin was Senior Counsel in the SEC's Division of Enforcement, where he investigated and prosecuted violations of federal securities laws.  In addition to broker-dealer/investment adviser issues, Rubin was involved with complex financial fraud and insider trading issues.  Prior to serving with the SEC, Rubin was a litigation associate with two prominent law firms.  He received his law degree from Duke University and a master's degree in economics from Duke's graduate school.  Rubin received his undergraduate degree from the University of Pennsylvania's Wharton School of Business.

"Brian has been in the thick of the recent tidal wave of changes in securities enforcement," says Sutherland Asbill & Brennan Managing Partner James L. Henderson III.  "Securities enforcement is changing everyday, and our clients will immediately benefit from Brian's recent experience at the NASD and SEC.  We are excited to have Brian join our team of former SEC enforcement officials."

Rubin's arrival reinforces Sutherland Asbill and Brennan's already strong presence in the financial services area.  Sutherland's focus has been to expand its capabilities to handle complex enforcement, regulatory and financial reporting issues confronting the financial services industry and corporate America.

Sutherland Asbill & Brennan LLP is a national law firm known for solving challenging business problems and resolving unique legal issues for many of the nation's largest companies.  Founded in 1924, the firm has grown to more than 350 lawyers with offices in Atlanta, Austin, Houston, New York, Tallahassee and Washington.  For further information about the firm, please visit

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Washington, DC
Adam C. Pollet, Associate
Washington, DC
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