David Buffa is a principal with the Financial Institutions Practice Group.  Dave focuses his practice on defending financial firms and executives in  regulatory investigations, internal investigations and civil litigation before state and federal court.   Dave also advises clients on fund formation, securities registration and firm and individual registration issues.  Drawing from years of experience in-house with a global financial institution, Dave works with financial services clients to create and implement anti-money laundering programs and compliance policies and procedures across multiple business lines. 

Dave is a member of Bressler’s Retail Client Group, which develops solutions for firms subject to the SEC’s Regulation Best Interest and other recent developments impacting interactions with retail clients.   Dave is also a member of the firm’s Senior and Vulnerable Investor Group, which consists of Bressler lawyers with a shared interest in providing counsel to corporate clients who confront issues affecting seniors.

Dave earned his J.D. from Brooklyn Law School, where he served as Executive Notes and Comments Editor for the Brooklyn Journal of International Law and interned with Hon. Judge Sandra Townes in the Eastern District of New York.  Prior to law school, Dave worked for the general counsel at a mortgage-backed securities broker-dealer in New York.  Dave earned a B.A. in Philosophy from Columbia University, where he also rowed on the varsity heavyweight crew team.

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  • Brooklyn Law School, J.D., 2010
  • Columbia University, B.A., 2005


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