William Goydan

McGuireWoods LLP

$ $$$

6th Avenue 1251
New York 10020 NY US

William E. Goydan is a member of the firm’s Government Investigations and White Collar Litigation practice group, and Co-Head of the Broker-Dealer practice for the Financial Institutions Industry Team. Bill represents clients in complex securities matters, focusing on internal investigations, regulatory enforcement proceedings and litigation.

Bill’s experience includes representing broker-dealers, investment advisers, registered representatives, senior management and others in investigations and enforcement proceedings brought by the SEC, FINRA, and other self-regulatory organizations as well as state regulators.

In addition to handling investigations and litigation, Bill counsels companies and individuals on compliance with securities industry rules, reporting requirements, best practices, enhancements to policies and procedures, regulatory developments and enforcement trends.

Bill’s extensive experience includes serving as outside counsel for various national and regional securities firms. Bill served as an arbitrator for the NYSE, and currently serves as an arbitrator for FINRA Dispute Resolution and the National Futures Association.

EXPERIENCE :

  • Representation of a broker-dealer and investment adviser in SEC and FINRA investigation into billing practices, proxy delivery and trade confirmations.
  • Representation of a broker-dealer and supervisor in a federal grand jury investigation relating to alleged tax evasion and money laundering involving offshore accounts.
  • Representation of investment adviser in SEC investigation relating to conflicts of interest relating to selection of asset managers.
  • Representation of a broker-dealer in parallel federal grand jury, FINRA and state securities investigations relating to an arbitrage investment fund.
  • Representation of broker-dealers in multiple FINRA enforcement investigations involving structured notes, exchange traded funds and foreign currency transactions.
  • Representation of a broker-dealer in parallel investigations by FINRA and state securities regulators regarding Regulation T compliance.
  • Representation of a bank and broker-dealer in parallel Department of Labor and FINRA investigations into an allegedly fraudulent promissory note scheme.
  • Representation of a broker-dealer in a nationwide FINRA investigation into alleged cheating on continuing education exams.
  • Representation of the Special Litigation Committee of a NYSE-listed corporation in successfully defending against shareholder derivative claims.
  • Representation of a law firm in defense of class action and federal receiver claims relating to an allegedly fraudulent private placement offering.

Education :

  • Rutgers School of Law – Newark, JD, with honors, 1988
  • University of Richmond, BS, cum laude, 1984

Admissions :

  • New Jersey
  • New York
  • U.S. Court of Appeals for the 3rd Circuit
  • U.S. District Court for the District of New Jersey
  • U.S. District Court for the Eastern District of New York

Cost

Rate : $$$$

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6th Avenue 1251
New York 10020 NY US
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