FacultyFaculty/Author Profile

Joel H. Goldberg

Stroock & Stroock & Lavan LLP

New York, NY, USA

Joel Goldberg has more than 25 years’ experience advising mutual funds, as well as mutual fund management teams and independent directors. Mr. Goldberg has particular expertise in the areas of mutual fund regulation and investment adviser regulation. He regularly advises clients on complex questions relating to distribution, including issues arising under Rule 12b-1.

Mr. Goldberg has authored numerous publications on various aspects of the Investment Company Act of 1940. He has also lectured frequently and participated in many panels on these and related subjects.

Prior to joining Stroock, Mr. Goldberg was a partner at Willkie Farr & Gallagher LLP and Shearman & Sterling LLP. He also has 13 years’ experience in various government positions, including his tenure as Director of the Securities and Exchange Commission’s Division of Investment Management.


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