Overview

Rebecca Swenson specializes in representing broker dealers and individual financial advisors in FINRA arbitrations and in regulatory matters.  She also practices in state courts for matters involving broker dealers.  Prior to joining the firm, Rebecca was Director and Associate General Counsel at UBS Financial Services Inc., where she also represented broker-dealers and individual financial advisors in securities arbitrations and in regulatory matters relating primarily to sales practice violations.  She was also responsible for supervising outside counsel on firm litigation.  While employed as Vice President and Senior Attorney at Morgan Stanley, she represented the firm and individual financial advisors and provided advice regarding compliance and legal issues to branches in the Southeast Region.

Before joining Morgan Stanley, Rebecca was Senior Litigation Counsel at Nortel Networks Inc., responsible for litigation management for matters pending in the United States and Canada, including state and federal court proceedings, government inquiries, arbitration and mediation.  She was responsible for the management of outside counsel, development of strategy, collection of documents and information from employees, selection of outside counsel and experts, review of pleadings, and management of expenses and fees.  She was also responsible for providing legal advice to other attorneys and clients concerning commercial agreements, pre-litigation disputes, disclosure issues, insurance matters and other general corporate matters. 

Rebecca was an Enforcement Attorney at the United States Securities and Exchange Commission in Boston, Massachusetts.  She was responsible for the investigation of potential securities law violations and recommendations to the Commission concerning institution of administrative or federal court proceedings.

As an associate and partner at Arnold & Porter, she practiced complex commercial litigation.  Her practice was almost exclusively in federal court on a wide range of topics, including securities, antitrust, intellectual property, contracts, fraud, insurance law, and environmental law.  She worked on several class action matters and several government and grand jury investigations.  She specialized in emergency litigation.  Finally, she had a number of federal appellate matters.  As a complex commercial litigation attorney, Rebecca was responsible for all aspects of practice, including pleadings and briefs, discovery, oral argument, fact and expert witness preparation, trial preparation, negotiation of settlement and other agreements, and supervision and training of other attorneys and staff.  She was a member of the ethics and training committees and responsible for the development and implementation of new associate training.

After graduating from Duke University School of Law, Rebecca began her career with a clerkship for the Honorable Robert H. Bork, United States Court of Appeals for the D.C. Circuit.

Additionally, Rebecca has substantial experience in public interest law.  She worked with the Legal Aid Society of Albuquerque and has acted as a guardian ad litem for abused and neglected children. 

Rebecca is a member of the Florida Bar and is admitted to practice in the U.S. District Court for the Southern District of Florida and the U.S District Court for the District of Columbia. 

Experience

Experience

  • 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 & Insights

Education

  • Duke University School of Law, J.D., 1984
  • State University of New York at Stony Brook, B.A., 1980

Admissions

  • District of Colombia
  • New Mexico
  • Florida
  • U.S. District Court for the District of Columbia
  • U.S. District Court, Southern District of Florida
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