FacultyFaculty/Author Profile
David M. Levine

David M. Levine

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

David Levine is Chief Legal Officer for Oz Management, a global alternative asset management firm. He is also an Executive Managing Director and a member of the Firm’s Partner Management Committee.  Prior to joining Oz Management in January 2017, Mr. Levine spent 15 years at Deutsche Bank AG, where he most recently served as Global Head of Litigation and Regulatory Enforcement.  From 1993 through 2001, Mr. Levine worked at the U.S. Securities and Exchange Commission in both New York and Washington, DC.  During this time, he served in a variety of roles including as the agency’s Chief of Staff, as well as Senior Adviser to the Director of Enforcement.

Mr. Levine was a member of SIFMA’s Compliance and Legal Society Executive Committee and Legal Subcommittee from 2011-2017.  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 (the appellate court for FINRA enforcement actions) and served as Vice Chairman (2008) and Chairman (2009).  Mr. Levine also served on FINRA’s Statutory Disqualification Subcommittee from 2010 to 2016.

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 holds a J.D. Degree from Hofstra University School of Law where he was valedictorian and an editor of the law review.

David M. Levine is associated with the following items:
Web Segment  Web Segment In-House Broker/Dealer Lawyer Roundtable - Broker/Dealer Regulation and Enforcement 2018, Wednesday, October 17, 2018
MP3 Audio  MP3 Audio In-House Broker/Dealer Lawyer Roundtable - In-House Broker/Dealer Lawyer Roundtable, Wednesday, October 17, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg In-House Broker/Dealer Lawyer Roundtable - In-House Broker/Dealer Lawyer Roundtable, Wednesday, October 17, 2018
On-Demand Web Programs  On-Demand Web Programs Broker/Dealer Regulation and Enforcement 2018, Tuesday, October 23, 2018, New York, NY

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