Top FINRA Enforcement Issues and Trends of 2018 with Eversheds Sutherland

April 25 10AM PT | 1PM ET

While disciplinary actions may have declined, FINRA's fines per case have been increasing. By focusing on past regulatory actions such as anti-money laundering and suitability - problems which generated the greatest number of fines in 2018 - firms can learn to avoid the same pitfalls in the future.

Join Eversheds Sutherland and Smarsh on April 25th as we unpack the top enforcement issues of 2018 and dive into the key trends emerging in 2019. Register for this webinar to learn about:

  • The top regulatory enforcement issues and trends of 2018
  • Early indicators of what the regulators are focusing on in 2019
  • The trends and drivers behind FINRA enforcement actions

Register Now

Panelists

Robert Cruz

Senior Director of Information Governance
Robert-Cruz

Robert Cruz

Senior Director of Information Governance

Robert Cruz is Senior Director of Information Governance for Smarsh and Actiance. He has more than 20 years of experience in providing thought leadership on emerging topics including cloud computing, information governance, and Discovery cost and risk reduction.

Adam Pollet

Counsel, Eversheds Sutherland
Adam

Adam Pollet

Counsel, 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.

Marianna Shafir

Corporate Counsel
Marianna

Marianna Shafir

Corporate Counsel

Marianna Shafir is Corporate Counsel and 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 sca19 keynote

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.