Scott H. Rothstein

His corporate and regulatory assistance focuses on insurance regulation, securities regulation of variable annuity products and mutual funds, and the distribution of securities and insurance products. Scott’s extensive in-house experience drives him to provide practical, solution-oriented advice to his clients.

He has extensive experience counseling clients on securities and insurance regulatory issues, including preparation of registration statements and prospectus updates, sales practices and disclosure rules, insurance product design/contract drafting, holding company regulation and corporate governance matters. 

He also regularly advises clients on the Advisers Act, Investment Company Act and broker/dealer regulatory compliance. 

Prior to joining Eversheds Sutherland, Scott served as Executive Vice President, Deputy General Counsel and Corporate Secretary for a major New York-domiciled life insurer and retirement services provider. Prior to this position, he was appointed by Governor Eliot Spitzer as the Executive Director of the New York State Commission to Modernize the Regulation of Financial Services, which was tasked with recommending reform of New York State’s regulation of the insurance, banking and securities industries. 

Earlier in his career, he served as head of the legal coverage group for a Wall Street bank’s retail broker/dealer and registered investment adviser, as the Deputy General Counsel of a leading annuity and mutual fund company and as Counsel for a leading provider of retirement plan services. He began his career on the law firm side, providing advice on a broad range of securities law and transactional matters.