“Litigation is a problem solving process which can be disruptive and distracting to many clients. My goal is to help my clients navigate through this process and reach a successful resolution.”
Robert Goldberg practices in Bressler’s Securities Litigation and Regulation group. His extensive experience, spanning more than three decades of practice, includes representing large broker/dealers, individual brokers and branch office managers in arbitrations, mediations, lawsuits and regulatory investigations, and in providing risk management advice.
Prior to joining the firm, Bob served as in-house litigation counsel with Merrill Lynch, Pierce, Fenner & Smith Inc. for more than 30 years. Bob’s practical in-house experience allows him to more ably represent clients because he understands what they do, how they work and what they need in terms of external legal support.
Bob currently represents financial services firms and professionals in arbitrations, mediations and lawsuits before FINRA Dispute Resolution and New York State trial and appellate courts primarily concerning retail sales practice complaints and alleged violations of state and federal securities laws. He is diligent in conducting fact investigations, developing defense strategies, drafting pleadings, motions and briefs, as well as in conducting discovery and preparing witnesses.
Bob also supervises, mentors and helps develop the litigation skills of junior attorneys, as well as advises in-house counsel on tactical and strategic matters concerning cases they handle internally. Bob is an avid vintage guitar collector and enjoys fingerpicking acoustic blues. He also enjoys photography and cycling, and spending time with his family, including two grown children.
- Represented a broker dealer in a customer arbitration relating to trading losses incurred during the 2008 financial crisis
- Successfully represented a broker dealer in both the trial and appellate courts against claims brought by an outside business partner of an employee-broker
- Successfully represented a broker dealer in a lawsuit brought by the daughter of a deceased customer for a claim alleging violations of New York’s Transfer-On-Death Security Registration Act
- Represented a broker dealer against a collection of claims alleging affinity fraud in connection with the sales of securities and servicing of customer accounts
- Represents broker dealers in FINRA arbitrations concerning securities sales practice claims brought by retail clients
- November 27, 2013FINRA's Recent Changes To The Discovery Guide