About David L. Goldberg
Veteran litigator David Goldberg helps financial institutions in high-stakes, complex litigation and enforcement matters. As a former AUSA who spent a decade as in-house counsel for a financial services firm, David knows firsthand the pressures and challenges his clients face. His no-surprises approach to litigation and investigations offers peace of mind when stakes are high and the outcome is uncertain.
Understanding financial services disputes from the inside out
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 regulatory investigations and enforcement matters, and his understanding of the industry allows him to position his clients for the best outcomes possible. David also spent seven years at UBS Wealth Management Americas, where he personally handled hundreds of retail investor arbitrations, disputes and regulatory matters.
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
News
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August 15, 2024
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June 12, 2024
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September 29, 2023
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August 17, 2023
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September 29, 2022
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August 18, 2022
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June 8, 2022
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September 30, 2021
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August 19, 2021
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Publications
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September 12, 2024
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August 2, 2023
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July 17, 2023
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June 27, 2023
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October 10, 2019
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October 20, 2016Attorney-Consultant Privilege? Key Considerations for Fund Managers When Utilizing, Invoking and Waiving the Kovel Privilege for Consultants
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September 21, 2015
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July 20, 2015
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September 4, 2014
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Quick Reads
Presentations and Events
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June 9, 2020Presenter
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May 19, 2020Co-presenter
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October 10, 2019
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October 26, 2017Speaker | Litigation Update
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March 19–22, 2017Panelist | A Practitioner's Guide to Managing a Regulatory Investigation
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October 27, 2016Presenter
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July 27, 2016Panelist
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October 6, 2015Host
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March 15–18, 2015Panelist | Financial Crisis Litigation: Is the End in Sight?
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