FacultyFaculty/Author Profile
David M. Levine

David M. Levine

Oz Management LLC
Chief Legal Officer
New York, NY, USA


David M. Levine is the Head of Litigation and Regulatory Enforcement for the Americas at Deutsche Bank. He also chairs Deutsche Bank's Global Litigation and Regulatory Enforcement Operating Committee which helps coordinates such efforts globally.

Prior to joining Deutsche Bank in December 2001, Mr. Levine spent eight years at the U.S. Securities and Exchange Commission in Washington, DC, and New York. During 2001, Mr. Levine served as the agency’s Chief of Staff. In this role, he coordinated SEC policy, managed the Office of the Chairman, and served as liaison to the White House and the Congress. Before that, Mr. Levine spent three years as the SEC’s Senior Adviser to the Director of Enforcement. From February 1996 through May 1998, Mr. Levine served as the Special Assistant to the SEC’s General Counsel. From 1993 through February 1996, Mr. Levine was an enforcement staff attorney in the Commission’s New York Regional Office. Mr. Levine was the recipient of three Chairman’s Awards for Excellence for his work on Regulation FD, auditor independence, and securities litigation reform.

Mr. Levine currently serves on FINRA’s Statutory Disqualification Subcommittee, and is a member of SIFMA’s Compliance and Legal Society Executive Committee and Legal Subcommittee. Previously, he served on FINRA’s Membership Committee (2003-2005), including as Chair in 2005. In 2006, Mr. Levine was appointed by FINRA's Board of Governors to the National Adjudicatory Council and served as Vice Chairman (2008) and Chairman (2009). The NAC serves as FINRA’s appellate court hearing all appeals of enforcement actions.

Mr. Levine is the author of: Research Analyst Conflict Disclosures—Less Would Be More, BNA’s Securities Regulation & Law Report (Vol. 41, No. 6) at 217 (Feb. 9, 2009); and co-author of: “You’ve Got Jail:” Current Trends in Civil and Criminal Enforcement of Internet Securities Fraud, 38 Georgetown American Crim. L. Rev. 405 (2001); Insider Trading Redux, Nat’l L.J. at B6 (Oct. 18, 1999); The Securities Litigation Uniform Standards Act of 1998: The Sun Sets on California’s Blue Sky Laws, 54 Bus. Law. 1 (1998); The New Securities Class Action: Federal Obstacles, State Detours, 39 Ariz. L. Rev. 641 (1997); The Limits of Central Bank’s Textualist Approach: Attempts to Overdraw the Bank Prove Unsuccessful, 26 Hofstra L. Rev. (1997).

Mr. Levine graduated from Hofstra University School of Law in 1993, where he was valedictorian and an Associate Editor of the law review.
David M. Levine is associated with the following items:
Live Seminar  Live Seminar Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, New York, NY
Live Webcast  Live Webcast Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, Atlanta, GA
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, New Brunswick , NJ
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, Pittsburgh, PA
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, Philadelphia, PA
Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 16, 2018, Mechanicsburg, PA
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