Ronald L. Rubin

  • Washington, DC

Ron's practice focuses on CFPB and SEC enforcement investigations and litigation, regulatory examinations, and white collar criminal defense.

Ron was one of the earliest employees at the Consumer Financial Protection Bureau (CFPB), where he was an enforcement attorney in the Supervision, Enforcement and Fair Lending Division. He played an important role in building the new agency’s enforcement capabilities, created the standard format for all of the Office of Enforcement’s policies and procedures, and drafted many critical internal rules of operation such as the Enforcement Action Process and the NORA procedures. Ron has extensive knowledge of the Dodd-Frank Act and other consumer financial laws overseen by the CFPB.

Ron began his career by gaining extensive trial experience as a criminal prosecutor. He then spent seven years investigating and prosecuting securities law violations as senior special counsel at the United States Securities and Exchange Commission, and he was a managing director in the Legal and Compliance Department of Bear, Stearns & Co. Ron is admitted to practice in the District of Columbia, California, Massachusetts, New York, Florida and Pennsylvania.

Relevant Experience

  • Drafted the CFPB's Enforcement Action Process, which governs how Enforcement collaborates with other components of the Bureau prior to taking steps such as opening investigations, issuing civil investigative demands, and suing suspected law violators.
  • Drafted the CFPB's NORA (Notice and Opportunity to Respond and Advise) procedures, which provide firms under investigation with an opportunity to present their positions prior to a recommendation of enforcement proceedings against them.
  • While at the SEC, investigated and prosecuted many insider trading and market manipulation cases, including SEC v. Steve Madden.
  • Represented largest third-party marketer in SEC's and DOJ's New Mexico "pay-to-play" investigations.
  • Represented clients in SEC, FINRA, DOJ investigations, regulatory examinations, criminal prosecutions.
  • Advised financial industry clients on securities law, securities regulations, compliance, criminal law and corporate governance.
  • Represented several individual and “feeder fund” clients in matters related to Bernard Madoff fraud.
  • Advised clients on related tax law, bankruptcy law, employment law and partnership law issues.