Dave Buffa is a member of the firm’s Securities Litigation and Regulation practice group. He represents broker-dealers, investment advisors and other financial firms in connection with investigations from SEC, FINRA and State Regulators, as well as customer-initiated arbitrations and civil complaints. Dave also conducts internal investigations for the firm’s financial services clients, including investigations into potential employee misconduct.
Formerly with J.P. Morgan Chase, Dave gained significant in-house experience with the firm’s global compliance policy group. In that role, Dave focused on the development and revision of compliance policies across the firm’s lines of business, with a particular concentration on global financial crimes matters, including Anti-Money Laundering, Know Your Customer, Anti-Corruption, Customer Identification Programs and Sanctions.
Dave earned his B.A. in Philosophy from Columbia University, where he remains an active alumnus and former member of the heavyweight crew team. He earned his J.D. from Brooklyn Law where he served as Executive Notes and Comments Editor for the Brooklyn Journal of International Law. Also at law school, David interned with Hon. Judge Sandra Townes in the Eastern District of New York and Legal Aid.
- June 20, 2017SIFMA Compliance and Legal Society St. Louis Regional Seminar
Bressler, Amery & Ross is a proud sponsor of the 2017 SIFMA Compliance and Legal Society St. Louis Regional Seminar. The seminar will feature presentations by leadin… Read more
- May 17, 2018FINRA Issues Its First Progress Report On FINRA360
Financial Institutions Law Alert… Read more
- February 8, 2018SEC Issues 2018 Exam Priorities
Securities Law Alert… Read more
- July 7, 2017FINRA Enforcement Chief Counsel Speak at Panel on Emerging Regulatory Issues and Enforcement Priorities
Event Summary… Read more
- August 8, 2016Cooperation Credit in Enforcement Proceedings: The Importance of Independence
Securities regulators and enforcement agencies, including the Securities and Exchange Commission (SEC) and U.S. Department of Justice (DOJ), have programs in place t… Read more