David Rosenfield has over 30 years of experience as a prosecutor with firsthand knowledge of white collar defense, securities, bank and healthcare regulatory issues, and civil litigation. David represents individuals, senior executives, and corporations in criminal prosecutions, grand jury and regulatory investigations, corporate internal investigations, and securities, bank, healthcare, and civil litigation.

David represents these clients before various federal agencies including U.S. Attorneys’ Offices, the U.S. Department of Justice, the SEC, the CFTC, the FDIC, the Office of the Comptroller of the Currency, and the Department of Health and Human Services. He also represents clients before state agencies such as the New York and New Jersey Attorney General’s Offices and self-regulatory agencies such as FINRA.

Prior to joining Warren Law Group, David worked in a large New York firm where he provided his expertise in matters involving securities fraud, money laundering, insider trading, bribery, anti-trust, embezzlement, obstruction of justice, and more.

In addition to his law practice, David has appeared on television, spoken on panels, and authored articles on issues such as proffers, false statements to government agents, cooperation, internal and governmental investigations, securities industry regulation, and anti-money laundering compliance. David was also the chairperson of the White Collar Crime Committee of the American Bar Association’s Business Law Section for three years.

David is a dedicated, knowledgeable, practical, compassionate, and well-respected attorney. David’s client base is broad and the types of cases he has worked on are varied, from representing clients in very high-profile cases to working on cases “below the radar,” always with the goal of achieving the best possible result for each client.

Education
JD, University of Pennsylvania Law School

Bar Admissions & Memberships
State of New York
State of New Jersey
Southern District of New York
Eastern District of New York
District of New Jersey

Representative Matters Include:

  • Represented stock promoter in wide-ranging securities fraud investigations by the U.S. Department of Justice and the SEC. As has been publicly reported, the cooperation of our client led directly to the “Varsity Blues” investigation, as our client’s information resulted in the exposure of the massive, high-profile college admissions cheating scandal.
  • Defended former Guatemalan President Alfonso Portillo, who had been extradited to the U.S., against money laundering conspiracy charges.
  • Represented several professional cyclists, former teammates of Lance Armstrong, in federal criminal and U.S. Anti-Doping Agency investigations.
  • Represented a securities trader in a large scale criminal insider trading case brought by the U.S. Department of Justice and in related SEC civil action involving short sales of securities in advance of secondary offerings.
  • Represented the then-largest U.S. Kosher food products company in an extensive criminal anti-trust investigation by the U.S. Department of Justice. No anti-trust charges were brought against the company.
  • Conducted an internal investigation for an internationally recognized art gallery concerning the authenticity of numerous multi-million-dollar paintings bought and sold by the gallery.
  • Represented a high-level Turkish bank official in a high-profile federal prosecution and jury trial involving alleged violations of U.S. economic sanctions against Iran.
  • Represented a prominent New York City attorney in a federal criminal investigation of embezzlement and market manipulation by the senior management and directors of a public company. The client pled guilty to obstruction of justice and received a sentence of probation.
  • Represented a high-profile investment advisor to private equity funds with over $1 billion in assets in connection with investigations of alleged securities law violations by the SEC and state securities regulators. Represented the investment advisor in a parallel federal grand jury investigation.
  • Represented three directors of a failed New York City community bank in the defense of claims by the FDIC of an alleged failure to exercise due care in their oversight of the bank’s loan portfolio.
  • Represented a hedge fund in an SEC investigation of allegations of misrepresentations and the failure to disclose material facts to investors. Co-authored a Well Submission which resulted in the decision by the SEC to drop the investigation.
  • Conducted an internal investigation for a nationally recognized investment advisor to a series of hedge funds following a whistleblower’s complaint concerning SEC compliance and operational issues. Upon submission of a report of the investigation, which determined that the whistleblower’s allegations had no merit, the SEC never brought charges.
  • Represented the Vice President of Sales of a large medical device company in a joint U.S. Department of Justice/Department of Health and Human Services investigation of alleged kickbacks to physicians.
  • Represented the owner of several pharmacies in a joint investigation by the U.S. Department of Justice and U.S. Department of Health and Human Services of kickbacks to doctors for prescription referrals.
  • Represented a prominent investment advisor in an SEC investigation concerning marketing issues and use of finders who were compensated to attract potential investors.
  • Represented an investment advisor at a prominent financial services company in a FINRA arbitration in which the panel ordered the expungement of two customer claims from the investment advisor’s publicly available disclosures.
  • Provided anti-money laundering and regulatory advice to several mid-sized banks on such issues as account opening procedures, OFAC compliance and the filing of Suspicious Activity Reports.

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