Insights

Insights by Phillip Goldberg

Phillip M. Goldberg is a partner and litigation lawyer with Foley & Lardner LLP where he focuses primarily on litigation, securities enforcement and corporate governance matters. He has been involved in numerous proxy contests and related takeover cases representing both activist investors and corporations. Phillip also 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 and litigation. Phillip also assists special committees of boards of public companies in investigations of financial reporting and related conduct. He has represented various broker-dealers and individuals in significant investigations relating to research analyst conflicts of interest, sales of derivatives, IPO allocations, insider trading and financial reporting and net capital compliance. His practice also includes the representation of municipalities, underwriters and individuals in connection with municipal financial fraud investigations.