Robin M. Bergen is a partner based in the Washington, D.C. office.
Ms. Bergen’s practice focuses on SEC investigations and regulatory enforcement matters, structured finance, private investment funds, international securities offerings and cross-border financings. She also has extensive experience in the regulation of investment companies and investment advisers. Ms. Bergen has represented corporate clients and individuals in a broad range of government investigations involving the Securities and Exchange Commission, the Department of Justice, and state regulators. She also advises boards of directors and audit committees on corporate governance and internal investigations matters.
Selected relevant experience in enforcement and regulatory matters includes acting as:
- Counsel to several Fortune 500 companies and senior officers and directors in connection with SEC options backdating investigations.
- Counsel to several Wall Street investment banks in various regulatory investigations.
- Counsel to several public companies and senior officers in connection with SEC investigations involving allegations of accounting fraud and other misconduct.
- Counsel to independent directors of Sirva, Inc. in an internal investigation relating to earnings management.
- Counsel to independent directors of Verisign, Inc. in an internal investigation relating to options backdating.
In the structured finance area, Ms. Bergen regularly represents underwriters and investment managers in collateralized debt obligation transactions and complex financial product offerings.
Ms. Bergen is distinguished internationally as one of the leading lawyers in structured products by both
Chambers Global: The World’s Leading Lawyers for Business and
Chambers USA: America’s Leading Lawyers for Business. Additionally, she was recently named one of
Institutional Investor News’ “10 Rising Stars of Securitization.”
Ms. Bergen speaks regularly on issues relating to securities enforcement, government investigations, and structured finance. Ms. Bergen has published on regulatory matters relating to investment companies and investment advisers. She is also recently published on aspects of securities enforcement investigations and issues in U.S. Securities Law: “Advising Corporate Clients in Securities Enforcement Investigations,”
Common Issues in Securities Law: Leading Lawyers on Managing Client Expectations, Evaluating Securities Investigations, and Identifying Key Issues in U.S. Securities Law, 2008.
Ms. Bergen joined the firm in 1994 and became a partner in 2003. She received a J.D. degree from New York University School of Law in 1994 and a B.S. degree, with distinction, from the University of Virginia in 1991.
Ms. Bergen is a member of the Bars in New York and the District of Columbia.