Robin M. Bergen’s practice focuses on government and internal investigations, and regulatory enforcement and examination of broker-dealers and investment advisers.

Robin represents corporate clients and individuals in a broad range of government investigations involving the Securities and Exchange Commission, the Commodity Futures Trading Commission, the U.S. Department of Justice, FINRA and State Attorneys General. With deep background and knowledge in structured finance, she has particular experience advising financial institutions in enforcement matters relating to financial and complex products.

In addition, Robin has extensive experience in the regulation of investment companies and investment advisers, where she advises boards of directors and management on regulatory matters ranging from examinations and government investigations to internal reviews and investigations.

Robin joined the firm in 1994 and became a partner in 2003.

Notable Experience

  • Several Wall Street investment banks, hedge funds and asset managers in investigations by the SEC, FINRA, UK FCA and congressional committees relating to subprime mortgage matters, including collateralized debt obligations (CDOs), residential mortgage-backed securities and commercial mortgage-backed securities.

  • Alfred C. Toepfer International (a subsidiary of ADM) in DOJ and SEC Foreign Corrupt Practices Act (FCPA) investigations involving alleged bribery in Ukraine, including in its settlement with the SEC and DOJ.

  • Paradigm Capital Management in its settlement with the SEC resolving the first-ever charge of whistleblower retaliation by the SEC.

  • Major corporate and financial institution clients in investigations by the NYAG under the False Claims Act involving possible fair trade and New York State tax issues relating to reporting of revenues and deductions.

  • Major financial institutions in CFTC and SDNY investigations of swaps trading in the SSA market.

  • Several large asset managers in connection with SEC and other regulatory investigations stemming from the Madoff and Stanford fraud cases.

  • Several major private equity funds, hedge funds, and financial services firms on enforcement and regulatory issues, including the Investment Advisers Act and Investment Company Act, arising from Dodd-Frank and regulatory reform.

  • Several registered broker-dealers and investment advisers in connection with SEC regulatory examinations relating to various compliance issues.

  • Several public companies and senior officers in connection with SEC investigations involving allegations of accounting fraud and other misconduct.

  • Independent directors and senior management of several major publicly traded companies in internal investigations and internal reviews relating to accounting fraud, options backdating and structured finance products.

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Selected Activities

  • Member, Executive Council, Federal Bar Association Securities Law Committee
  • Member, ALI-ABA Advisory Panel on Securities Law
  • Former Vice Chair, International Securities Law Committee, DC Bar Association’s Corporation, Finance and Securities Law Section

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