Robin M. Bergen

Partner at Cleary Gottlieb Steen & Hamilton LLP

Robin M. Bergen

Robin M. Bergen

Partner at Cleary Gottlieb Steen & Hamilton LLP

Biography

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 and private investment funds. 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 matters and internal investigations. In the structured finance area, Ms. Bergen regularly represents underwriters and investment managers in collateralized loan obligation (CLO) and related products transactions and complex financial product offerings. Her substantial transactional and finance experience provides her with a unique perspective and ability to understand and analyze complex factual and legal issues faced by multinational companies and financial services firms in government investigations and enforcement matters.

Selected recent experience in enforcement and regulatory matters includes acting as:

* Counsel to several Wall Street investment banks, hedge funds, and asset managers in investigations by the SEC, FINRA, U.K. FSA and congressional committees relating to subprime mortgage matters including CDOs.
* Counsel to Alfred C. Toepfer International (a subsidiary of ADM) in DOJ and SEC Foreign Corrupt Practices Act (FCPA) investigations involving alleged bribery in Ukraine, including in its recent settlement with the SEC and DOJ.
* Counsel to several large asset managers in connection with SEC and other regulatory investigations stemming from the Madoff and Stanford fraud cases.
* Counsel to a major private equity fund sponsor in “pay-to-play” investigations.
* Counsel to several registered broker-dealers and investment advisers in connection with SEC regulatory examinations relating to various compliance issues.
* 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 and senior management of several major publicly traded companies in internal investigations and internal reviews relating to accounting fraud, options backdating, and structured finance products.
* Counsel to several Fortune 500 companies and senior officers and directors in connection with SEC options backdating investigations.

Selected recent experience in the structured finance area includes acting as:
* Counsel to Bank of America Merrill Lynch, Citigroup, Credit Suisse, Goldman Sachs, Morgan Stanley and other major underwriters in the structuring and offering of more than $41 billion in CLOs, CDOs and other structured finance transactions since 2011.
* Counsel to Babson Capital, Invesco Senior Secured Management, Hildene Capital Management and other preeminent collateral managers in more than $3 billion in CLOs, CDOs and other structured finance transactions since 2011.
* Counsel to numerous CLO issuers, investors and other parties in connection with amendments, restructurings and refinancings of structured finance products.

Ms. Bergen is distinguished as a "star white-collar lawyer" by Benchmark Litigation: The Definitive Guide to America’s Leading Litigation Firms and Attorneys and, based on peer and client selection, is named one of Benchmark Litigation's Top 250 Women in Litigation. She is also recognized as a leading structured finance lawyer in Legal Media Group’s 2015 Banking Finance and Transactional Expert Guide. She has been internationally recognized as a leading lawyer by Chambers Global, Chambers USA, The Legal 500 U.S., and IFLR 1000: The Guide to the World’s Leading Law Firms. Additionally, Ms. Bergen was previously named one of Institutional Investor News’ “10 Rising Stars of Securitization.” Ms. Bergen is a member of the ALI-ABA Advisory Panel on Securities Law, and she previously served as Vice Chair of the International Securities Law Committee of the DC Bar Association's Corporation, Finance and Securities Law Section.

Ms. Bergen speaks regularly on issues relating to securities enforcement, government investigations, and structured finance. Most recently she participated in the 2015 Cambridge Forum on Financial Institutions Enforcement, spoke at the Institutional Investor’s 2013 Hedge Fund Institutional Forum Senior Delegates Roundtable on enforcement and regulatory issues for hedge funds and private equity funds, and she also appeared on an enforcement panel at PLI’s 2013 Corporate Governance Master Class. Other recent panel topics include cross border issues affecting investment advisers in the world of Dodd-Frank, and internal investigations involving corporate officials. Ms. Bergen is a frequent author on regulatory matters relating to investment companies and investment advisers. She previously served as a regular securities law contributor to Thomson Reuters' News & Insight. In addition, Ms. Bergen authored an article on the role of the board in overseeing internal investigations for The Conference Board’s Executive Action Series (2009), and authored a chapter on advising corporate clients in securities enforcement investigations in Common Issues in Securities Law (Aspatore 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, the District of Columbia and the U.S. District Court for the Central District of Illinois.

Overview
RelSci Relationships

1105

Number of Awards

3

Contact Data
Trying to get in touch with Robin M. Bergen? Subscribe today to access their professional contact information and receive a one time promotion of free Contact Data credits!
Relationships
RelSci Relationships are individuals Robin M. Bergen likely has professional access to. A relationship does not necessarily indicate a personal connection.

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Partner at Cleary Gottlieb Steen & Hamilton LLP

Relationship likelihood: Strong

Paths to Robin M. Bergen
Potential Connections via
Relationship Science
You
Robin M. Bergen
Partner at Cleary Gottlieb Steen & Hamilton LLP
Education
JD
Class of 1994

Founded in 1835, New York University School of Law has a record of academic excellence and national scholarly influence. One of the first law schools to admit women, it has been long committed to welcoming students of diverse backgrounds, people who had been discriminated against by many other institutions. Located on the University's campus in Greenwich Village, NYU Law has been a leader, and continues to be, in areas such as law and business, clinical education, public service, interdisciplinary colloquia and global studies.

BS with Distinction
Class of 1991

The University of Virginia (often abbreviated as UVA, UVa, or Virginia) is a public research university in Charlottesville, Virginia, United States. It was conceived and designed by U.S. President Thomas Jefferson, and established in 1819. UVA's initial Board of Visitors included former Presidents of the United States Thomas Jefferson, James Madison, and James Monroe. Monroe owned the initial site of the University, which was mostly farmland. His law office and farmhouse are now the site of Brown College at Monroe Hill, a residential college at UVA. UVA is one of the eight original Public Ivy universities, and it is the only university campus in the United States that is designated a World Heritage Site by UNESCO. In the 2013 edition of U.S. News and World Report's National University Rankings, the school was listed as America's 2nd best public university; tied with UCLA and surpassed only by UC Berkeley.

Career History
Partner
1994 - Current

Cleary Gottlieb Steen & Hamilton LLP is an international law firm that provides legal services to clients. The company serves multinational corporations, international financial institutions, sovereign governments and their agencies, and domestic corporations and financial institutions. The company was founded in 1946 and it is headquartered in New York, NY.

Non-Profit Donations & Grants

Learn how non-profit organizations benefit from RelSci
N/A
2010

The District of Columbia Bar is the second largest unified bar association in the United States. The D.C. Bar’s core functions, supported by member dues, are the registration of lawyers, operation of a lawyer disciplinary system, maintenance of a Clients’ Security Fund, and certain other administrative operations. Many of the important educational and public service programs carried out by the Bar are made possible by voluntary contributions, user fees, and other nondues sources of income. The Bar is governed by a Board of Governors composed of 20 lawyers selected by the active membership and three members of the public appointed by the Bar itself as nonvoting members.

Political Donations
$1,000
2007

Former Senator from New York

Awards & Honors
1995
Admitted to the New York Bar
1995
Admitted to District of Columbia Bar
The Legal 500 United States
Other Affiliations

Robin M. Bergen is affiliated with Cleary Gottlieb Steen & Hamilton LLP

This web site is not endorsed by, directly affiliated with, maintained, authorized, or sponsored by Robin M. Bergen. The use of any trade name or trademark is for identification and reference purposes only and does not imply any association with the trademark holder. The Presence of Robin M. Bergen's profile does not indicate a business or promotional relationship of any kind between RelSci and Robin M. Bergen.