Practice Description:

Ronald L. Rubin advises the firm's public company, broker/dealer, investment advisor and individual clients on regulatory, compliance, civil, criminal and corporate governance issues related to the federal securities laws and Financial Industry Regulatory Authority (FINRA) regulations.  Ron's five years as a criminal prosecutor, seven years in the Miami and New York Offices of the U.S. Securities and Exchange Commission (SEC) and two years working for self regulatory organizations (FINRA predecessors) provide him with valuable knowledge and insight when dealing with federal, state and industry regulatory agencies such as the SEC, the Attorney General's Office and FINRA.  Ron also relies upon his extensive trial experience and expertise in insider trading and market manipulation matters when representing individual and institutional clients in connection with investigations by federal and state agencies.