FacultyFaculty/Author Profile

David Bergers

U.S. Securities and Exchange Commission
Acting Deputy Director, Division of Enforcement
Washington, DC, USA

David P. Bergers is the Acting Deputy Director of the Division of Enforcement of the U.S. Securities and Exchange Commission. In his role as Acting Deputy Director, Mr. Bergers is responsible for helping to set enforcement priorities for the SEC and to supervise the civil law enforcement efforts of more than 1,200 SEC personnel located in 12 offices across the country. In addition to serving as Acting Deputy Director, Mr. Bergers has served since 2006 as Director of the Boston Regional Office. The SEC’s Boston Office is responsible for the SEC’s enforcement and examination programs in Massachusetts, Connecticut, New Hampshire, Maine, Vermont and Rhode Island, with over 1100 investment advisers, approximately 60 mutual fund complexes, 375 broker-dealers and over 500 actively traded public companies located in the region. Prior to his appointment as Regional Director, Mr. Bergers served in a number of enforcement positions of increasing responsibility, including head of enforcement in Boston. He has headed hundreds of SEC investigations into broker-dealer and investment adviser fraud, insider trading, financial fraud and other securities law violations.

Mr. Bergers received the SEC’s Stanley Sporkin Award in 2010 for his contributions in the restructuring of the Enforcement Division. He received the SEC and NTEU Labor-Management Relations Award in 2011 and 2012 for his work on a union-management team that helped restructure the SEC’s national examination program. He also was one of several Enforcement staff who received the SEC’s Law and Policy Award in 2011 for his contributions to the development of the SEC’s whistleblower rules.

Mr. Bergers has practiced with law firms in Philadelphia and Boston and also has served as a vice president and assistant general counsel of a regional broker-dealer and an affiliated investment adviser. A recipient of a Lawyer of the Year Award from Massachusetts Lawyers Weekly (2006), Mr. Bergers obtained his bachelor’s degree from Eastern Nazarene College in 1989 and his law degree from Yale Law School in 1992.


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