About David L. Goldberg

Veteran litigator David Goldberg is an attorney financial institutions turn to when facing high-stakes, complex litigation and enforcement matters. A former AUSA who later ran major disputes and regulatory investigations in‑house at a global investment bank, David guides clients through make‑or‑break cases, nationwide class actions and government-facing enforcement matters with a no‑surprises approach.

Delivering results when the company is on the line

David has led defense teams in multi‑billion‑dollar exposures, including a federal civil fraud case brought by a foreign sovereign that resolved on the eve of jury selection, a pending civil RICO action tied to nationwide military‑housing financing, and coordinated proceedings stemming from options strategies with alleged losses exceeding $1 billion — where he secured defense awards in most arbitrations and constrained recoveries in the rest. He has also obtained complete defense results in Financial Industry Regulatory Authority (FINRA) arbitrations on nine‑figure claims and won dispositive rulings in cases seeking tens of millions of dollars, while managing parallel risks across equities, fixed income, investment banking and wealth management businesses.

Drawing on a decade inside a major financial institution and years in federal service, David understands how litigation and investigations intersect with business imperatives and regulatory scrutiny. He positions clients to protect enterprise value, limit collateral consequences and reach durable outcomes when there is no margin for error.

Understanding financial services disputes from the inside out

Serving as executive director and senior associate general counsel for UBS Securities LLC, David managed many of the firm's largest investment banking disputes and regulatory investigations. He knows the challenges and opportunities financial institutions face during important litigations, regulatory investigations and enforcement matters, and his understanding of the industry allows him to position his clients for the best outcomes possible.

Additionally, David spent seven years at UBS Wealth Management Americas, where he managed a nationwide team and personally handled hundreds of retail investor arbitrations, disputes and regulatory matters.

David previously served with distinction as an AUSA in the US Attorney's Office for the Eastern District of New York, where he received the John Marshall Award, one of the highest honors given by the DOJ.

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Practice Focus

  • Securities enforcement and litigation
  • Broker-dealer litigation and arbitration
  • Class actions
  • Commercial litigation, including disputes related to contracts, fraud and fiduciary duty claims, raiding and recruiting, and employment
  • Regulatory enforcement investigations and litigation
  • Internal investigations
  • Intellectual property disputes

Representative Experience

  • Lead defense trial counsel for individual defendants in multi-party federal civil fraud case against foreign sovereign government and its taxing authority arising from alleged misconduct in connection with foreign securities transactions that resulted in $2 billion loss. Case settled on the eve of jury selection.
  • Lead defense counsel for individual defendant in pending federal civil RICO litigation arising from multi-billion financing and construction of military housing complexes across United States.
  • Lead counsel for two separate U.S. financial institutions in pending nationwide federal class action litigation challenging cash “sweeps” programs.
  • Lead trial counsel for international financial institution in over one dozen related arbitrations arising from options trading strategy with alleged $1 billion in client losses. Won full defense award in majority of cases, and limited recoveries to less than 10% of Claimants' collective investment losses.
  • Trial counsel for broker-dealer in FINRA arbitration claiming conflicts of interest caused investor to lose over $250 million. Won full defense award and costs.
  • Defended state-licensed industrial bank against allegations of wrongful liquidation of securities collateral in action seeking more than $60 million. Obtained summary judgment dismissing breach of contract and fiduciary duty claims. Client was awarded attorney's fees/costs incurred.
  • Represent underwriting syndicate in federal securities class action litigation arising from $100 million initial public offering. Won threshold decision barring class plaintiffs from pursuing claims against all clients based on prior litigation conduct.

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Practices
Education
  • Boston University School of Law, JD, cum laude
  • University of Pennsylvania, BA, with honors
Bar Admissions
  • New York
Community Involvements
  • Securities Industry and Financial Markets Association, Litigation Advisory Committee Chairman
  • West Side Campaign Against Hunger, Board Member
Recognitions
Recognized or listed in the following:
  • Best Lawyers in America
    Litigation – Securities, 2020–2026
  • Super Lawyers
    New York, 2018–2025
  • The Legal 500 United States
    Recommended Attorney, 2014, 2016, 2020, 2022, 2024–2025
  • US Attorney General
    John Marshall Award for Outstanding Legal Achievement, 1998
Award Methodologies