On-Demand Webinar

Top FINRA Enforcement Issues and Trends of 2019 with Eversheds Sutherland

Watch Smarsh and Eversheds Sutherland in this webinar to learn more about:

  • The top regulatory enforcement issues and trends of 2019
  • Early indicators of what the regulators are focusing on in 2020
  • Enforcement Implications from Books and Records, Electronic Communications and Social Media Cases
  • COVID-19 and the remote workforce - what firms can do in 2020

While the amount of FINRA fines, restitution, and cases decreased in 2019 compared with 2018, FINRA continues to target specific areas, such as anti-money laundering violations, which for the fourth consecutive year has resulted in the largest amount of fines.  With the current pandemic and market downturn, we also expect FINRA to focus on business continuity plans, cybersecurity, suitability, and misrepresentations, as well as electronic communications and books and records issues.

Panelists

Marianna Shafir

Regulatory Advisor, Smarsh
Marianna

Marianna Shafir

Regulatory Advisor, Smarsh

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 panelist 400x400

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

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.