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UBS Executive David L. Goldberg Joins Katten Litigation Practice

Firm News | July 11, 2013

(NEW YORK) Katten Muchin Rosenman LLP announced today that David L. Goldberg has joined the firm as partner in its Litigation and Dispute Resolution practice in New York where he will represent corporate and individual clients in securities litigation and regulatory enforcement matters.

"The combination of David's experience as in-house counsel for a major global financial services firm and as a former federal prosecutor gives him a unique perspective that will further strengthen both our litigation and financial services practices," said Vincent A. F. Sergi, chairman of Katten.

Goldberg most recently served as executive director/senior associate general counsel for UBS Securities LLC, in its Litigation and Investigations Group, where he managed many of its largest investment banking litigations and regulatory investigations. His experience extends to virtually every type of major class action and securities litigation, including residential mortgage-backed securities (RMBS), auction rate securities, collateralized debt obligations (CDOs), structured products, affiliated bank "sweeps" programs and market timing cases. Additionally, Goldberg has broad experience in all key product areas comprised by an integrated modern financial institution, including equities, fixed income, investment banking advisory and wealth management franchises.

Before moving to UBS Securities LLC, Goldberg served for seven years at UBS Financial Services Inc., in its Litigation and Regulatory Group, where he was responsible for some of the company’s largest litigations, including all class action and products/services litigation, nationwide and served as its Head of Litigation, Home Office, Products and Services.

Goldberg served for seven years as an Assistant US Attorney for the Eastern District of New York where he established a successful record of prosecuting cases in areas including money laundering, employment discrimination defense, civil/criminal asset forfeiture, False Claims Act litigation and torts defense. In 1998, he was given the John Marshall Award for Outstanding Legal Achievement, one of the highest honors given by the US Department of Justice, by then-US Attorney General Janet Reno.

"David's multifaceted background in government and in private practice and as in-house counsel enables him to provide a comprehensive perspective of the litigation and regulatory challenges that face major financial institutions," said Sheldon Zenner, head of Katten's national Litigation practice.

Goldberg is often tapped to speak on issues surrounding the financial services industry and served as Chairman of the Litigation Advisory Committee for the Securities Industry Financial Markets Association. He began his legal career working in private practice in New York. He received his JD, cum laude, from the Boston University School of Law where he was editor of the Boston University Law Review. He received his BA from the University of Pennsylvania with honors.

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