David is a results-oriented attorney with extensive trial, arbitration, mediation and regulatory experience. A dedicated litigator and regulatory attorney, David passionately advocates for his clients. He takes a practical, strategic approach to fully understand his clients’ objectives to help them navigate the court and arbitration systems and regulatory/enforcement process.
He represents broker-dealers, investment advisers and other financial institutions, along with senior officers, executives, financial advisors, branch management and other individuals in a wide range of securities, civil and employment-related matters in state court, arbitration, mediation and regulatory forums.
David leads the firm’s Expungement practice, working closely with in-house counsel, branch management, registration/regulatory reporting professionals and financial advisors to educate them about the expungement process and help evaluate regulatory disclosures, including customer complaints. He has built a dedicated team that assists both firms and registered representatives navigate the expungement process through court confirmation and has handled more than 100 expungement matters.
Taking a strategic, thoughtful and tireless approach, David has successfully handled countless arbitrations, mediations and court matters nationwide, while representing firms and individuals in state, FINRA and SEC regulatory and enforcement matters. He routinely handles product cases and has experience with a broad array of investments, including equities, bonds, mutual funds, ETFs, options, index options, commodities, futures, structured products, derivatives, limited partnerships, annuities, alternative investments (including hedge funds, fund-of-funds and private equity) and managed futures, to name a few. He also has vast experience in addressing outside business activities, operational issues, compliance policies, supervisory policies and standard operating procedures for financial services firms.
Aware of how changes in the legal and regulatory landscape can impact his clients, David frequently authors articles analyzing proposals and changes to best inform his clients. Of note, David worked closely with Financial Institutions industry leaders to author SIFMA’s response to FINRA Regulatory Notice 17-42, which seeks to overhaul the expungement process. He also serves as a guest lecturer at New York Law School’s Securities Arbitration Clinic and Alternative Dispute Resolution Arbitration Skills course.
Prior to joining Bressler, David served as a consultant in the hedge fund industry, providing due diligence, operational support and consulting services to hedge funds and funds-of-funds. From 2000-2006, he served as Director of Kroll Associates’ Vendor Integrity Division, helping many Fortune 500 companies mitigate business risk. David’s prior experience also includes prosecuting financial crimes at the Brooklyn District Attorney’s Office and investigating/prosecuting securities law violations at the New York Stock Exchange Enforcement Division (now FINRA). A graduate of Cornell University and New York Law School, David served as Executive Case Comment Editor of the New York Law School Law Review.
News & Insights
News & Alerts
- Alert, Financial Institutions Law Alert, 09.30.2020
- Alert, Financial Institutions Law Alert, 07.22.2020
- Firm News, 01.05.2018
- Firm News, 01.05.2017
- Firm News, 01.05.2017
- Firm News, 05.16.2013
Speaking Engagements & Events
- Webinar, 08.19.2020
- Speaking Engagement, 11.13.2019
- Event, 03.31.2017
- Event, 02.16.2017
- Speaking Engagement, 02.09.2017
- Event, 01.15.2017
Articles & Publications
- Alert, Financial Institutions Law Alert, 02.12.2020
- Publication, Law360, 10.15.2019
- Publication, Financial Advisor Magazine , 10.09.2019
- Alert, 10.04.2019
- Alert, 05.31.2019
- Alert, 03.07.2019
- Alert, 12.26.2018
- FINRA Issues Regulatory Notice 17-42 Requesting Comment and Proposing Amendments to Expungement of Customer Dispute InformationAlert, 12.11.2017
- Alert, 09.29.2017
- Securities Regulators, Industry Professionals Gather to Discuss Regulatory Focus and Important Securities Issues at SIFMA's C&L Regional Seminar in New YorkAlert, 11.16.2015
Associations & Organizations
- American Bar Association
- New York State Bar Association
- New York City Bar Association- Litigation Section
Get to Know David
Get to Know David
In his free time, David enjoys marathon running, cooking and traveling with his wife and two children. He is an active member of the Westfield, NJ community and coaches his children in football, basketball, baseball and softball.
Areas of Practice
- Business & Commercial Litigation
- Financial Institutions
- Financial Institutions Advisory Practice
- Financial Institutions Enforcement Defense
- Financial Institutions Internal Investigations
- Financial Institutions Litigation and Arbitration
- General Litigation
- Investment Advisers
- Retail Client Relationships
- New York Law School, J.D., cum laude, 2007
- Cornell University, School of Industrial and Labor Relations, B.S., 2000
- New Jersey
- New York
- U.S. District Court, District of New Jersey