Mr David Goldberg > Katten > New York, United States > Lawyer Profile
Katten Offices
50 Rockefeller Plaza
New York, New York 10020
United States
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Mr David Goldberg
Work Department
Financial Markets Litigation and Enforcement
Position
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.
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.
In his role as in-house counsel, David handled most types of major class-action and securities litigation. These included residential mortgage-backed securities, auction rate securities, collateralized debt obligations, structured products, affiliated bank sweeps programs and market timing cases. David also worked across all of the key product areas that comprise an integrated modern financial institution, representing UBS’s equities, fixed income, investment banking advisory and wealth management franchises.
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.
Education
JD, Boston University School of Law, cum laude BA, The University of Pennsylvania, with honors
Top Tier Firm Rankings
Firm Rankings
- Finance > Structured finance: derivatives and structured products
- Finance > Structured finance: securitization
- Media, technology and telecoms > Advertising and marketing: litigation
- Investment fund formation and management > Alternative/hedge funds
- Transport > Aviation and air travel: finance
- Intellectual property > Copyright
- M&A/corporate and commercial > M&A: middle-market (sub-$500m)
- Dispute resolution > Securities litigation: defense
- Dispute resolution > Financial services litigation
- Media, technology and telecoms > Media and entertainment: litigation
- Media, technology and telecoms > Media and entertainment: transactional
- Real estate > Real estate
- Finance > Restructuring (including bankruptcy): corporate
- Healthcare > Service providers
- Industry focus > Sport
- Intellectual property > Trademarks: litigation
- Dispute resolution > General commercial disputes
- M&A/corporate and commercial > Venture capital and emerging companies
- Tax > US taxes: non-contentious
- Finance > Commercial lending
- Dispute resolution > Corporate investigations and white-collar criminal defense