Katten

Financial Markets Litigation and Enforcement

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.

JD, Boston University School of Law, cum laude BA, The University of Pennsylvania, with honors