Brian Rubin, Adam Pollet and Marianna Shafir

Brian Rubin is the Washington office leader of the Eversheds Sutherland (U.S.) 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.

Recently, Brian represented firms and individuals on matters involving 12b-1 fees, share class selection, revenue sharing, bank deposit sweeps, margin accounts, cyber breaches, 529s, variable annuities, variable life insurance, mutual funds, REITs, advertising, email retention and surveillance, advisory accounts, insider trading, trade reporting, markups/markdowns, registration, privacy and supervision. He regularly litigates against regulators and claimants, counsels clients on regulatory and compliance matters and conducts internal investigations.

Adam Pollet is counsel at Eversheds Sutherland. He defends corporations, broker-dealers, investment advisers and individuals in enforcement and litigation matters involving the SEC, 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.

Prior to joining Eversheds Sutherland (U.S.), Adam was an associate in the government enforcement practice of another international law firm. Adam also has an active pro bono practice and is involved in community outreach programs, including founding a partnership with a local elementary school.

Marianna Shafir is Corporate Counsel and Regulatory Advisor at Smarsh, where she is responsible for regulatory affairs worldwide. With her expertise in financial services industry, compliance and e-discovery, 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.

illustration of geographically disparate team all working from home

Eversheds Sutherland partners with Smarsh to focus on enforcement actions in key areas that are already presenting significant challenges to firms with mandated work-from-home policies caused by the COVID-19 pandemic. COVID-19 is not just creating a health crisis around the world, it will also create a crisis for firms that get sanctioned for failing to properly consider prior disciplinary actions involving books...

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