Eversheds Sutherland
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Showcasing a range of banking regulation expertise, Eversheds Sutherland focuses on retail banking and helping clients to comply with SEC financial rules and market entries, in addition to assisting with avoiding potential violations of SEC or FINRA financial and operational rules and securities law expertise more widely. New York-based Clifford Kirsch, head of the investment services practice group, leads the team alongside Brian Rubin, Bruce Bettigole and Olga Greenberg in Washington DC, New York and Atlanta respectively, who all act as co-heads of securities enforcement at the firm. The breadth of the firm’s capabilities is further evidenced by securities regulators SEC investigations involving Reg BI, representing firms being investigated by FINRA for potential Reg BI violations. Former SEC attorney Holly Smith in Washington DC is key in this regard.
Legal 500 Editorial commentary
Key clients
- Coalition of circa 70 broker-dealers
- The Financial Services Institute
Work highlights
Acted for a coalition that includes circa 70 broker-dealers, which is affiliated with the members of the Committee of Annuity Insurers, as securities counsel.