August 17, 2017

Donald S. Davidson

Donald S. Davidson focuses his practice on a wide range of matters for broker-dealers, investment advisers, and investment companies. He has represented clients in litigation and in regulatory inquiries involving the SEC, FINRA and its predecessors, Department of Justice ("DOJ"), state securities regulators, and foreign securities regulators. These matters have included municipal finance, market timing, insider trading, revenue sharing, and issues arising under the Securities Act of 1933, the Securities and Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, various state blue-sky statutes, and SRO rules. He also advises clients on compliance and risk management issues.

Prior to joining the firm, Don practiced securities litigation at prominent law firms in San Francisco and New York. Before his tenure in defense law, he served as the deputy general counsel and senior vice president at UBS Financial Services Inc. (formerly PaineWebber Inc.) for over six years. At UBS, Don managed the Private Client Litigation Group, which handled all customer and broker-related litigation and arbitrations arising from the firm’s nationwide retail branches. He also advised business clients at UBS on risk management, best practices, and changes in the legal and regulatory environment.

Articles in the National Law Review database by Donald S. Davidson



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Friday, September 15, 2017