January 19, 2021

Volume XI, Number 19

Donald N. Cohen

Donald N. Cohen is a litigator who represents broker-dealers and their employees in virtually all aspects of their business. He is experienced in arbitrations and mediations before the Financial Industry Regulatory Authority (FINRA) (which combined the arbitration and enforcement functions of the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE)) and the American Arbitration Association (AAA), and in regulatory and enforcement proceedings before the Securities and Exchange Commission (SEC), FINRA and other regulatory and self-regulatory organizations. Donald also provides regulatory and compliance advice to broker-dealers and investment advisors and conducts internal investigations for them. He has wide-ranging experience in a broad range of commercial litigation matters.

Before joining Greenberg Traurig, Donald served as executive vice president and general counsel of Gruntal & Co., L.L.C., a national broker-dealer, where he managed all of its legal and compliance affairs including regulatory matters, litigations and arbitrations, employment matters, internal investigations, investment advisory matters, contracts and corporate transactions.

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Articles in the National Law Review database by Donald N. Cohen

TRENDING LEGAL ANALYSIS