Current Employment Position(s)

Partner

Lawyer Overview

Phillip M. Goldberg is a partner with Foley & Lardner LLP and a member of the firm's Management Committee. Mr. Goldberg is chair of the firm's Securities Enforcement & Litigation Practice and a member of the Securities, Commodities & Exchange Regulation Practice. He counsels securities broker-dealers and other clients on compliance with the federal and state securities laws and rules of the various self-regulatory organizations (SROs) and represents those clients in SEC enforcement proceedings and SRO disciplinary and other proceedings, litigation and grand jury investigations. Mr. Goldberg also assists special committees of boards of public companies in investigations of financial reporting and related conduct. He has represented various securities broker-dealers and investment advisors in SEC and SRO investigations of sales practices, municipal securities business, equity, fixed income and financial futures trading, and back office compliance and related supervision. He has represented various broker-dealers and individuals in significant investigations relating to research analyst conflicts of interest, sales of derivatives, IPO allocations, and financial reporting and net capital compliance. He represents public companies and individuals, including corporate officers and directors in SEC investigations, including investigations into the adequacy of financial and other reporting and internal controls and insider trading and related shareholder litigation. He also consults corporations and institutional investors in proxy contests and related takeover cases.

Mr. Goldberg was profiled in Illinois Legal Times as one of Chicago's best young litigators. He often speaks at bar and securities trade association programs on corporate internal investigations, SEC enforcement issues, and regulatory examinations, and has published several articles on these topics.

Mr. Goldberg received his law degree from DePaul University (J.D., 1983) and his undergraduate degree from Indiana University (B.A., 1980).

Areas of Practice

• Securities Enforcement & Litigation

Honors and Awards

• Profiled in Illinois Legal Times as one of Chicago's Best Young Litigators

Education

• DePaul University College of Law, Chicago, Illinois, 1983
  J.D.
• Indiana University, 1980
  B.A.

Address

321 North Clark
Suite 2800
Chicago, IL 60654

Phones

(312) 832-4549

Faxes

312-832-4700

Emails

Contact Us

Websites

http://www.foley.com