Lauren P. Berglin

Associate

New York
T +1.212.847.7037
F +1.212.589.4201

Overview

Lauren Berglin focuses her practice on complex commercial litigation, regulatory enforcement and white collar defense, assisting individuals and corporations with federal regulatory investigations and compliance matters in the financial industry. Lauren is able to analyze complex facts and provide thorough analyses while assisting clients.

Select Experience

  • Represented a financial adviser in a FINRA investigation involving suitability issues. Prepared a witness for FINRA on-the-record testimony.
  • Member of a team that represents an individual involved in the private equities market against an investigation by the Securities Exchange Commission (SEC) alleging accounting and securities fraud in connection with a multimillion-dollar fee charged over a seven-year period.
  • Representing a financial adviser in a FINRA arbitration brought by foreign investors regarding suitability of investments. 
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Experience

  • Represented a financial adviser in a FINRA investigation involving suitability issues. Prepared a witness for FINRA on-the-record testimony.
  • Member of a team that represents an individual involved in the private equities market against an investigation by the Securities Exchange Commission (SEC) alleging accounting and securities fraud in connection with a multimillion-dollar fee charged over a seven-year period.
  • Representing a financial adviser in a FINRA arbitration brought by foreign investors regarding suitability of investments. 

Recognitions and Memberships

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Prior Positions

  • Judicial Intern for the Honorable Martin Glenn, United States Bankruptcy Court, Southern District of New York (2013)
  • Judicial Intern for the Honorable Marilyn Go, Magistrate Judge, United States District Court, Eastern District of New York (2013)

Admissions

  • U.S. District Court, Southern District of New York
  • U.S. District Court, Eastern District of New York
  • New Jersey
  • New York

Education

  • J.D., Brooklyn Law School, 2015; magna cum laude; Associate Managing Editor, Brooklyn Journal of Corporate, Financial, & Commercial Law; Barry Zaretsky Fellow
  • B.A., Government Law and History, Lafayette College, 2012