Robin M. Bergen is member of Cleary Gottlieb Steen & Hamilton LLP. Robin Bergen’s practice focuses on government and internal investigations, and regulatory enforcement and examination of broker-dealers and investment advisers. Robin joined the firm in 1994 and became a partner in 2003.
Robin represents corporate clients and individuals in a broad range of government investigations involving U.S. and international governmental agencies, including 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 services firms 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.
- 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, 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 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.
- 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
- New York University School of Law, J.D., 1994
- University of Virginia, B.S., 1991
- District of Columbia
- New York
- U.S. District Court for the Central District of Illinois
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