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Regulatory Exams and Investigations in the Age of COVID-19


Jul 9, 2020 01:20 PM

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Brian Rubin
Partner @Eversheds Sutherland
Brian Rubin is the Washington office leader of the Eversheds Sutherland (US) Litigation group and the head of the firm’s Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and state securities enforcement practice. 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 SEC, 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, asset managers and individuals in examinations, investigations, enforcement proceedings, litigation, arbitrations and in counseling.
Sarah Sallis
Associate @Eversheds Sutherland
Sarah Razaq Sallis advises broker-dealers, investment advisers, investment companies, financial institutions and public companies in private litigation and arbitration matters, as well as examinations, internal investigations and prosecutions by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC) and state securities regulators.
Alex Russell
Managing Director, White Collar, Regulatory and Internal Investigations @Bates Group
Alex Russell is the Managing Director of White Collar, Regulatory and Internal Investigations for Bates Group LLC where he is responsible for providing support in relation to disputes arising in both the litigation and regulatory space. Alex has assisted numerous national and superregional financial services firms in responding to regulatory inquiries, providing assistance related to the quantification of potential client impact in the context of an inquiry, exam, or self-reporting initiative. Within the litigation space, Alex focuses his practice on institutional disputes, primarily cases related to investment banking or sales and trading as well as those involving ultra-high net-worth individuals. Alex also serves as the leader of Bates Group’s Big Data Analytics segment, with a particular focus on the use of data analytics in market manipulation or fraud cases.