FacultyFaculty/Author Profile
Robin M. Bergen

Robin M. Bergen

Cleary Gottlieb Steen & Hamilton LLP

Washington, DC, USA


Robin M. Bergen is a partner based in the Washington, D.C. office of Cleary Gottlieb Steen & Hamilton LLP. Ms. Bergen¡¦s practice focuses on Securities and Exchange Commission (SEC) investigations and regulatory enforcement matters, structured finance and private investment funds. She also has extensive experience in the regulation of investment companies and investment advisers.

Ms. Bergen has represented corporate clients and individuals in a broad range of government investigations involving the SEC, the Department of Justice, and state regulators. She also advises boards of directors and audit committees on corporate governance matters and internal investigations. In the structured finance area, Ms. Bergen regularly represents underwriters and investment managers in collateralized debt obligation (CDO) transactions and complex financial product offerings. Her substantial transactional and finance experience provides her with a unique perspective and ability to understand and analyze complex factual and legal issues faced by multinational companies and financial services firms in government investigations and enforcement matters.

Selected recent experience in enforcement and regulatory matters includes acting as counsel to:
  • Several Wall Street investment banks, hedge funds, and asset managers in investigations by the SEC, FINRA, U.K. FSA and congressional committees relating to subprime mortgage matters including CDOs.
  • Several large asset managers in connection with SEC and other regulatory investigations stemming from the Madoff and Stanford fraud cases.
  • A major private equity fund sponsor in "pay-to-play" investigations.
  • Several registered broker-dealers and investment advisers in connection with SEC regulatory examinations relating to various compliance issues.
  • Several public companies and senior officers in connection with SEC investigations involving allegations of accounting fraud and other misconduct.
  • Independent directors and senior management of several major publicly traded companies in internal investigations and internal reviews relating to accounting fraud, options backdating, and structured finance products.
  • Counsel to several Fortune 500 companies and senior officers and directors in connection with SEC options backdating investigations.

Ms. Bergen is distinguished as a "star white-collar lawyer" by Benchmark Litigation: The Definitive Guide to America's Leading Litigation Firms and Attorneys and recognized internationally as one of the leading lawyers in structured products by Chambers Global, Chambers USA, Legal 500, and IFLR 1000 Guide to the World's Leading Law Firms. In 2012, she was listed in the inaugural edition of Benchmark Litigation's Top 250 Women in Litigation. Additionally, Ms. Bergen was previously named one of Institutional Investor's "10 Rising Stars of Securitization". She previously served as Vice Chair of the International Securities Law Committee of the DC Bar Association's Corporation, Finance and Securities Law Section.

Ms. Bergen speaks regularly on issues relating to securities enforcement, government investigations, and structured finance.

Ms. Bergen joined the firm in 1994 and became a partner in 2003. She received a J.D. degree from New York University School of Law in 1994 and a B.S. degree, with distinction, from the University of Virginia in 1991. She is a member of the Bars in New York and the District of Columbia.
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