Brian L. Rubin
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Journal Articles

Summary of selected sessions from “The SEC Speaks in 2013”

Brian L. Rubin, Carmen L. Brun, Jaliya Stewart Faulkner, Michael K. Freedman, Kurt Lentz, Jae C. Yoon
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2013) 14 (2): 5–20.
https://doi.org/10.1108/JOIC-05-2013-0018
Published: 28 June 2013
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Journal Articles

FINRA's 2011 enforcement record, priorities, and trends

Deborah G. Heilizer, Brian L. Rubin, Andrew M. McCormick
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2012) 13 (3): 6–12.
https://doi.org/10.1108/15285811211266056
Published: 07 September 2012
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Journal Articles

FINRA's sanctions in 2009: a sign of things to come?

Deborah G. Heilizer, Brian L. Rubin, Shanyn L. Gillespie
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2010) 11 (4): 4–8.
https://doi.org/10.1108/15285811011098910
Published: 23 November 2010
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Journal Articles

Litigating disciplinary proceedings against the SEC and FINRA: it sometimes pays

Brian L. Rubin, Christian J. Cannon
Journal: Journal of Investment Compliance
Journal of Investment Compliance (2009) 10 (2): 45–49.
https://doi.org/10.1108/15285810910971283
Published: 12 June 2009
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