August 15, 2020

Volume X, Number 228

Donald S. Davidson

Donald S. Davidson focuses his practice on representing broker-dealers, investment advisers, and investment companies. He represents 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 include 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.

Before entering private practice, Don served as Deputy General Counsel at UBS Financial Services Inc. for six years. At UBS, Don managed the Private Client Litigation Group, which handled litigation 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