Ben advises financial institutions on securities regulation and examination matters.
Ben’s experience in securities regulation includes advising on Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) laws, rules, and regulations, as well as state securities and insurance laws. He advises broker-dealers, investment advisers, investment funds, and insurance companies on a wide range of securities regulatory and examination issues, helping clients access capital markets while navigating the complex securities rules for both public and private offerings. Ben also regularly guides his financial institution clients through SEC and FINRA examinations.
In addition to his deep knowledge of emerging trends in the financial services and asset management industries, Ben has extensive experience in digital assets, financial technology (FinTech) developments, cryptocurrency regulation, and the impact of blockchain technology and artificial intelligence on securities markets.
Ben routinely counsels financial institutions on compliance with anti-money laundering (AML) laws and regulations, corporate mergers and acquisitions, and the rules surrounding changes in ownership; advises on SEC and FINRA examination and enforcement matters; and develops and reviews written supervisory procedures and compliance programs. Ben also has more than 15 years of experience counseling financial institutions on the distribution of a wide variety of investments, including equities, bonds, mutual funds, exchange-traded funds, private funds, fixed and variable insurance contracts, business development companies, and other alternative investments.
Before joining Eversheds Sutherland (US) as an associate, Ben participated in the firm’s Summer Associate program in 2010, where he assisted with financial services matters. He previously worked as an analyst for a global consulting firm, where he conducted an analysis as part of a large-scale restructuring of the United States Army’s financial branch.
Latest Insights
- legal updatesSEC–CFTC harmonization effort signals shift toward streamlined oversight and reduced regulatory friction
- legal updatesA new day at the SEC: Chair Atkins keynote address at the tokenization roundtable
- legal updatesFINRA proposes changes to Rules 5130 and 5131, exempting non-traded BDCs from restrictions on participating in IPOs
Latest News
- media mentionsFINRA Seeks to Streamline Reporting Rules on Outside Activities
- media mentionsFINRA Reevaluates Its Office Categories
- media mentions
legal updates
March 13, 2026
SEC–CFTC harmonization effort signals shift toward streamlined oversight an...
legal updates
May 12, 2025
A new day at the SEC: Chair Atkins keynote address at the tokenization roun...
legal updates
May 02, 2025
FINRA proposes changes to Rules 5130 and 5131, exempting non-traded BDCs fr...
- Advised a cryptocurrency company seeking to raise capital in US markets.
- Advised a large insurance company on whether the company can accept cryptocurrency as payment, or hold cryptocurrency in its general account.
- Advised an issuer of exchange-traded commodities funds exploring issuing a crypto fund registered under the Securities Act of 1933.
- Drafted documents and agreements related to the distribution of a privately placed crypto ETF.
- Counselled a large US financial institution purchasing crypto as a hedge against cash.
Regulation Best Interest (Reg BI) & Standard of Conduct
- Fundamentals of Broker Dealer Regulation, July 17, 2023, Practising Law Institute
- Dual Registrant Regulatory Summit: Standard of Conduct – Where Do We Go From Here, April 20, 2021
- FINRA’s 2021 Examination and Risk Monitoring Program Report, February 25, 2021
- 2020 Year in Review & 2021 Look Ahead, Part 2: Broker Dealers, February 1, 2021, DC Bar
- Form CRS & Regulation Best Interest Implementation During COVID 19, June 11, 2020, DC Bar
- Regulation Best Interest – Focus on Implementation, March 5, 2020, BISA Annual Convention
- Fireside Chat on Regulation Best Interest, November 6, 2019, BISA Regulatory & Compliance Summit
- Regulation Best Interest, August 28, 2019, ACA Compliance Group
- RegEd Webcast: SEC Regulation Best Interest: What You Need to Know, August 22, 2019
- Briefing Call: New SEC Rule Set on Financial Professional Standard of Conduct and Fiduciary Duty, June 7, 2019
- The SEC’s Best Interest Standard: How We Got Here? And Where We’re Going?, March 7, 2019, BISA Annual Convention
Broker Dealer Compliance & Examinations
- Fundamentals of Broker Dealer Regulation, July 17, 2023, Practising Law Institute
- FINRA’s 2021 Examination and Risk Monitoring Program Report, February 25, 2021
- 2020 Year in Review & 2021 Look Ahead: Broker Dealers, February 1, 2021, DC Bar
- Chapter 10: Broker Dealer Standard of Care, May 2017, Fundamentals of Broker Dealer Regulation
Dual Registrant & Advisers Act Topics
- Dual Registrant Regulatory Summit: Standard of Conduct – Where Do We Go From Here, April 20, 2021
- Hat Switching: Special Challenges for Dual Registrants, October 29, 2019, Envestnet
- Advisers Act Regulatory Series, 2019
Market Trends, Technology & Innovation
- Empower Your Organization to Comply, November 11, 2020, La Meer Inc.
- Blockchain Use Cases for Financial Institutions, September 29, 2020
Gifts, Entertainment & Ethics
- Gifts & Entertainment Compliance: Regulatory Developments and Best Practices, August 20, 2020, RegEd
- Named to the “Ones to Watch” list by Best Lawyers in corporate law (2021-2026) and Financial Services Regulation Law (2026)
- Selected for inclusion in Washington, DC, Super Lawyer® “Rising Stars” (2016-2023)
- Named to the DC Bar Pro Bono Honor Roll (2013-2015)
- Cochair, IA-BD Subcommittee, DC Barʼs Corporation, Finance, and Securities Law Community
- Member, ABA Business Law Section
- Member, Business Development Committee, DC Barʼs Law Practice Management Section
- District of Columbia
- Virginia
- B.A., magna cum laude, College of William and Mary
- J.D., University of Virginia School of Law,
President, William Minor Lile Moot Court Board, Editorial Board, The Virginia Journal of Social Policy & the Law