Mr. Goldstein focuses his practice on securities enforcement defense and securities litigation. His clients include individuals and entities facing investigations by securities regulators, including the Securities and Exchange Commission and state securities regulators, self-regulatory organizations such as FINRA, the Department of Justice and other criminal authorities. Mr. Goldstein also represents clients in internal investigations, civil enforcement actions, securities class actions and criminal litigation involving allegations of violations of federal and state securities statutes and rules.
Mr. Goldstein was a member of the staff of the Securities and Exchange Commission for 15 years. While on the staff, Mr. Goldstein served as Associate Director of the Division of Enforcement, as well as head of the SEC’s Bank Fraud Working Group, Chairman of the SEC Penny Stock Task Force and a member of the Justice Department’s National Bank Fraud Working Group and Securities and Commodities Fraud Working Group. He also served as Executive Assistant to SEC Chairman John Shad. Previously, Mr. Goldstein served as a staff attorney, Branch Chief a nd Assistant Director in the Enforcement Division.
While at the SEC, Mr. Goldstein was awarded the rank of Distinguished Executive in the Senior Executive Service by President George W. Bush, the SEC Distinguished Service Award and the North American Securities Administrators Association Distinguished Service Award.Mr. Goldstein is listed in Chambers USA for Securities Regulation: Enforcement and in The Best Lawyers in America in the areas of Securities Law and Corporate Governance and Compliance Law.
Prior to his legal career, Mr. Goldstein was a Lieutenant in the United States Navy, serving as a Naval Flight Officer from 1965 – 1971.