Robin M. Bergen
Professional Bio
Robin M. Bergen’s practice focuses on government and internal investigations, and regulatory enforcement and examination of broker-dealers and investment advisers.
FINRA Proposes Rules Targeting Firms With History of Misconduct
Cleary Enforcement Watch ·
Supreme Court Finds Rule 10b-5’s “Scheme Liability” Provisions Reach Use of False Statement
Cleary Enforcement Watch ·
Lessons from the SEC Office of Compliance Inspections and Examinations’ 2019 Priorities
Cleary Enforcement Watch ·
Virtual Currencies, Manipulation, Cooperation, and More: CFTC Enforcement Division’s 2018 Annual Report
Cleary Enforcement Watch ·
Retail, Remedies, Resources and Results: Observations From the SEC Enforcement Division 2018 Annual Report
Cleary Enforcement Watch ·