On-Demand Webinar

Eversheds Sutherland Annual Analysis of FINRA Disciplinary Actions

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Webinar - Eversheds Sutherland Annual Analysis of FINRA Disciplinary Actions Shows Surge in Enforcement Activity

While the amount of FINRA fines, restitution and cases increased in 2020 compared with 2019, FINRA continues to target specific areas such as books and records as well as anti-money laundering violations, which for the fifth year in a row resulted in the largest amount of fines.  

In this webinar, Eversheds Sutherland and Smarsh unpack the top enforcement issues of 2020 and dive into the key trends emerging in 2021.

Watch Brian Rubin and Adam Pollet from Eversheds Sutherland and Marianna Shafir from Smarsh discuss:

  • The 2020 increase in the amount of fines, restitution and cases compared with 2019
  • How FINRA continues to target specific areas, such as books and records
  • Other top areas measured by total fines such as anti-money laundering, trade reporting, variable annuities and unregistered securities

Panelists

Marianna Shafir

Regulatory Advisor, Smarsh
Marianna Shafir headshot

Marianna Shafir

Regulatory Advisor, Smarsh

Marianna Shafir is Regulatory Advisor at Smarsh, where she’s responsible for legal and regulatory affairs worldwide. With her expertise in financial services industry, compliance and eDiscovery, Marianna counsels Smarsh clients on meeting regulatory obligations, leveraging technology and guidance on best practices related to electronic communications supervision. Prior to joining Smarsh, Marianna worked for BNY Mellon and Invesco where she was an instrumental member on compliance teams. Marianna has also served as an adjunct professor at New York Career Institute where she taught Law Office Management and Real Estate Law. She earned her Juris Doctorate from Nova Southeastern University. She is a frequent speaker at industry conferences and a contributor to various online publications.

Brian Rubin

Partner, Eversheds Sutherland
Brian Rubin, Partner, Eversheds

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

Adam Pollet

Partner, Eversheds Sutherland
Adam Pollet headshot

Adam Pollet

Partner, Eversheds Sutherland

Adam Pollet defends corporations, broker-dealers, investment advisers, and individuals in enforcement and litigation matters involving the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), state regulatory agencies, and numerous federal and state courts. He also represents clients in internal investigations and regulatory examinations and counsels them on various regulatory and compliance matters.