Broad and deep experience in civil, regulatory, and criminal matters involving all lines of business in investment banking and professional services (audit, advisory, tax), class actions, representation of entities and individuals in investigations and litigation through trial and appeal. Legal counseling on a variety of issues pertaining to conflicts, disputes, privilege, engagement management, and legal risk. Top flight written and oral advocacy and communication skills. Confident, informed, and steady judgment. A legal professional who understands business and business objectives. A motivating, dynamic, and personable manager who earns respect by example.
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Principal & Associate General Counsel - Kpmg LlpKpmg Llp 2008 - PresentNew York, Ny, UsLegal advisor to management in Audit, Advisory (Consulting), Tax, Risk Management and Professional Practice functions. Providing advice concerning Section 10A/illegal acts, contracting, intellectual property, information technologies, corporate governance, subsidiary broker-dealer/investment bank services/corporate finance services, management of legal risks, legislation and lobbying, banking regulations, new business lines/initiatives, federal and state regulatory matters relating to public accountancy and professional services, internal investigations, interfirm and offshore affiliate matters, litigation & regulatory actions. -
Counsel - Kpmg AmericasKpmg 2019 - PresentToronto, On, CaLegal advice to KPMG Americas, a regional governance entity for Central and South American KPMG member firms, concerning governance, cross-border issues, conflicts, intellectual property, information technology, licensing, information technology, audit quality/professional practice, risk management, marketing, scope of practice, regulatory matters, and internal investigations. Extensive collaboration with counsel, risk management professionals and business leaders throughout Central and South America. -
Executive Director (Legal)Ubs 2002 - 2008Zurich, ChLitigation & Regulatory for UBS Investment Bank throughout North, Central and South America and involving all business lines - equities, fixed income, corporate finance, M&A, syndicated finance, MBS, CMOs. -
Senior AssociateMorgan, Lewis & Bockius Llp 2000 - 2002Philadelphia, Pa, UsSecurities Litigation & Enforcement Practice Group - litigation of class actions and other private securities matters, defense and litigation of SEC enforcement investigations and litigation, conduct internal investigations. -
AssociateGage & Pavlis 1997 - 2000Criminal and Civil Litigation through trial and appeal.
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Attorney (Enforcement Investigations & Litigation)U.S. Securities And Exchange Commission 1994 - 1997Washington, Dc, UsRegulatory Investigations & Enforcement Litigation. Investigated, litigated and tried cases involved cases involving international financial fraud, insider trading, Investment Company Act and Investment Advisers Act violations, unregistered offerings, pump and dump "boiler room" schemes, trading fraud. Member of Broker-Dealer Enforcement Unit.
David R. Education Details
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Columbia Law SchoolLaw -
Fordham UniversityPhilosophy
Frequently Asked Questions about David R.
What company does David R. work for?
David R. works for Kpmg Llp
What is David R.'s role at the current company?
David R.'s current role is KPMG LLP & KPMG Americas.
What schools did David R. attend?
David R. attended Columbia Law School, Fordham University.
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