Overview

Robert Goldberg practices in Bressler’s Financial Institutions Litigation and Regulation group.  Bob has extensive experience representing broker/dealers, senior executives, securities brokers and branch office managers in arbitrations, mediations, lawsuits, appeals and regulatory investigations, and 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.  Clients benefit from Bob’s practical in-house experience because he understands and addresses their needs, objectives and the regulatory, business and reputational impact a case may generate. 

Bob’s expertise includes the defense of claims concerning violations of federal and state securities laws, suitability, unauthorized trading, churning, concentrated equity positions, fraud, misrepresentation, negligence, breach of fiduciary duty, breach of contract, elder abuse, selling away and failure to supervise.  Retail brokers have benefited from Bob’s substantial experience seeking expungement of disclosures from their Central Depository Registration (CRD) records maintained by FINRA.

Bob’s cases have included a myriad of investments, including equities, municipal and corporate bonds, options, mutual funds (open and closed-end), futures contracts, limited partnerships, forward contracts, annuities, structured products, derivatives penny stocks and exchange traded funds.  Bob is diligent and detail-oriented in conducting fact investigations, developing defense strategies, drafting pleadings, motions and briefs, as well as in conducting discovery and preparing witnesses.

Bob also advises in-house counsel on tactical and strategic matters concerning cases they handle internally and supervises, mentors and helps develop the litigation skills of junior attorneys. 

Bob earned a Juris Doctorate from Temple University School of Law.  He received a Bachelor of Arts, magna cum laude, from New York University, where he was inducted into Phi Beta Kappa.

Experience

Experience

  • 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

News & Insights

Publications

Associations & Organizations

Professional Affiliations

  • American Bar Association

Get to Know Bob

Get to Know Bob

When not practicing law, Bob is an avid vintage guitar collector and enjoys fingerpicking acoustic blues.  He also enjoys photography and cycling.

Education

  • Temple University School of Law, J.D., 1977
  • New York University, B.A., magna cum laude, 1974

Admissions

  • New York
  • U.S. District Court, Eastern District of New York
  • U.S. District Court, Southern District of New York
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