David C. Boch

David Boch regularly advises clients on all aspects of compliance with federal, state and SRO regulations applicable to investment companies, investment advisers, broker-dealers and transfer agents. He also regularly advises firms on issues relating to the distribution and sale of mutual funds. He advises clients concerning the design and implementation of supervisory and compliance programs, the review of existing policies and procedures, the preparation for and conduct of examinations and registration issues. David also conducts internal investigations on behalf of management and independent directors and/or trustees and frequently represents clients in regulatory proceedings before the SEC and FINRA, and defends clients in private litigation in both state and federal courts and arbitrations. He has been repeatedly recognized as a leading lawyer in Chambers USA for Securities Regulation and Enforcement as well as Broker-Dealer (Compliance). Clients praise him for his “practical approach to complex broker-dealer enforcement issues,” his “technical ability” and “subject matter expertise” in the regulatory enforcement sphere.

David speaks regularly at FINRA conferences and industry association meetings, including the SIFMA Annual Compliance and Legal Seminar.

Good to know

Areas of Practice 1) Trading and Markets, 2) Securities Enforcement and Investigations, 3) Broker-Dealer Regulatory, 4) Commercial Litigation, 5) Financial Institutions Regulatory, 6) Enforcement and Litigation, 7) Financial Services, 8) Insurance and 9) Investment Management
Law School Suffolk University Law School, J.D., 1979
Education Harvard College, A.B., 1975
Bar Member / Association Massachusetts State Bar Association
Most recent firm Bingham McCutchen LLP
Relevant Jobs
Immigration Associate Attorney
USA-MA-Boston

Relocation to Chicago/Houston/Portland/Pittsburgh/Ann Arbor is required. Hudson is a rapidly growing professional service corporation with offices nationwide. We are searching for an immigration at...

Apply now

Research Specialist
USA-MA-Boston

It is your chance to join one of the leading firms in intellectual property law for close to 90 years. Wolf Greenfield has assisted leading companies, innovative startups, major research universities ...

Apply now

Mid- / Senior-level Private Equity Associate
USA-MA-Boston

Mid- / Senior-level Private Equity Associate The candidate must have experience both working in teams and in managing components of transactions independently, with specific experience in a broad ran...

Apply now

+ View more jobs
A. Harrison Barnes
A. Harrison Barnes

A. Harrison Barnes is a well-known attorney throughout the United States. As a member of the Malibu community, Harrison is committed to serving the needs of Malibu residents and businesses in legal matters.

Alan Singer
Alan Singer

Alan Singer is a partner in Morgan Lewis's Securities Practice. Mr. Singer advises companies with regard to a diverse range of corporate and securities matters.

Andrew Hamilton
Andrew Hamilton

Andrew Hamilton is a partner in Morgan Lewis's Business and Finance Practice. Mr. Hamilton practices in the areas of mergers and acquisitions, private equity and venture capital, securities law, and general corporate counseling.