“My tangible and varied experience over many years of practice, as in-house counsel, as an attorney for the government, and in private practice has positioned me to better serve my clients. I understand their legal needs from all perspectives.”
Rebecca Swenson practices in the firm’s Securities Litigation and Regulation group. She devotes her practice to defending broker-dealers and individual financial advisors in securities arbitration.
Rebecca has practiced as an attorney for more than 30 years. Prior to joining Bressler, Rebecca was Director and Associate General Counsel at UBS Financial Services Inc. in the Sales Practice Litigation Area. She defended UBS and its financial advisors in arbitration matters before FINRA (formerly NASD and NYSE) and responded to regulatory inquiries directed to UBS. As a result, Rebecca understands from personal experience the challenges that financial services executives face on a daily basis. Her clients appreciate that she brings this perspective with her to every matter in which she is involved.
Rebecca has strong litigation experience as in-house litigation counsel for several companies. Formerly, she was a partner of Arnold & Porter, where her practice focused on complex commercial litigation. She was also an Enforcement Attorney at the United States Securities and Exchange Commission, giving her insight into how regulators think and what they need in order to resolve issues on behalf of her clients. Rebecca began her career with a clerkship for the Honorable Robert H. Bork, United States Court of Appeals for the D.C. Circuit after graduation from Duke University School of Law.
Additionally, Rebecca has substantial experience in public interest law. She has worked for the Legal Aid Society of Albuquerque and has acted as a guardian ad litem for abused and neglected children.
- Successfully defended a brokerage firm in a multi-million dollar case involving a bequest by a client to a financial advisor
- Obtained expungements for financial advisors in a number of cases
- Represented brokerage firms in cases challenging the suitability of variable annuities
- Represented financial advisors in connection with regulatory inquiries from FINRA
- Represented a brokerage firm in numerous cases involving structured products
News & Publications
- August 22, 2013Client Bequests to Financial Advisors
- June 28, 2010Bressler Welcomes Six Attorneys from UBS Financial Services
Bressler, Amery & Ross, P.C. is pleased to announce the arrival of six securities litigators from UBS Financial Services. Wes Holston, Principal, Bressler, Amery & R… Read more