Overview
Eugene I. Goldman represents domestic and international clients before the US Securities and Exchange Commission (SEC) in financial fraud, auditor misconduct, false disclosure, insider trading and other securities proceedings. He also represents audit committees in internal investigations as well as clients in shareholder litigation, cross-border Foreign Corrupt Practices Act (FCPA) investigations, and the Financial Industry Regulatory Authority (FINRA) and the Public Company Accounting Oversight Board (PCAOB) proceedings. Eugene also advises registered broker-dealers and investment advisers on compliance and related regulatory issues. He is a senior member of the Firm’s White-Collar and Securities Defense Practice Group.
Previously, Eugene served as senior counsel in the SEC’s Division of Enforcement in Washington, DC. He directed prosecutions in a wide variety of areas, including insider trading, undisclosed self-dealing, the sale of unregistered securities, undisclosed underwriters compensation and questionable foreign payments. Upon Eugene’s departure from the SEC, SEC Commissioner John. R. Evans wrote, “I want to commend you formally for the superb work you have accomplished here. The cases you have participated in are known nationally and internationally. I realize you have not served at the Commission to receive such notoriety. Rather, you desire the more worthy goal of assisting in the prevention of fraud and other inequitable and unfair practices in our securities market.”
Reflective of Eugene’s experience representing clients appearing before the SEC staff overseas, Eugene authored “Overseas Companies Are Well Within Reach of SEC Enforcement,” Securities Law 360 (Sept. 23, 2022). Eugene has conducted four “Anti-Corruption and Compliance” global training sessions for overseas auditors working on the audits of SEC-registered companies.
Eugene has testified before the Senate Banking Subcommittee on Securities regarding enforcement and litigation issues. He has also spoken on topics such as securities fraud enforcement before professional organizations, including the US Chamber of Commerce’s Center for Capital Markets upon the release of its report, Examining US Securities and Exchange Enforcement: Recommendations on Current Processes and Practices (July 2015).
Eugene is the lead author of the first book on the PCAOB, The PCAOB Mission: Improving Audit Quality via Enforcement, Standards & Inspections, 287 Securities Practice Portfolio Series (BNA 2014).
In 1986, Eugene became one of the first two law clerks for the Honorable Stanley Sporkin of the US District Court for the District of Columbia. Judge Sporkin previously served as director of the SEC’s Division of Enforcement. Eugene spoke at the program honoring the career and legacy of Judge Sporkin at the Georgetown Law Center in 2024, which announced the endowed memorial scholarship program for student interns at the Enforcement Division.
For seven years, Eugene chaired the Pro Bono Committee of the Firm’s Washington, DC, office and continues to litigate disabilities rights cases with co-counsel from the DC Lawyer’s Committee for Civil Rights and Urban Affairs.
Eugene served on the Virginia Board of the Department for Professional and Occupation Regulation, having been appointed to a four-year term by Governor Terry McAuliffe.
Eugene frequently serves as a moot court judge at in school and national competitions sponsored by the Georgetown Law Center and Catholic University’s Columbus School of Law.
Results
- Successfully navigated a hedge fund executive through SEC investigation and interviews without charges
- Guided clients to secure FINRA approval of change of broker-dealer control transactions
- Represented auditing firm in impairment of assets investigation
- Guided registered investment advisers through SEC examinations
- Acted on behalf of CFOs, controllers and other company executives in revenue recognition, “cookie jar reserve,” undisclosed perks and related investigations
- Acted on behalf of a major industrial company in a public earnings statement investigation
- Represented auditing firms in financial fraud and foreign payments investigations and class action litigation
- Represented the vice president of an entertainment company and a named partner of a New York law firm in insider trading investigations
- Defended a senior vice president for finance in a federal criminal securities fraud case (US v. DeGennaro, 419 F. 3d 134 (2d Cir. 2007))
- Represented a mutual fund president and portfolio manager in an Investment Company Act investigation (no charges)
- Acted on behalf of a hedge fund and director in “fair value” and private investment in public equity (PIPE) investigations
- Served as lead counsel to the City of Anaheim in the Orange County Pool case, which involved disclosure issues stemming from the investment of proceeds from municipal securities offerings (In the Matter of City of Anaheim, City of Irvine, et al., SEC A.P. File No. 3-9739 (1998))
Recognitions
- Best Lawyers in America, Securities Regulation and Securities Litigation, 2011-2025
- Association of Securities and Exchange Commission Alumni, Honored with Lifetime Membership
- Benchmark Litigation, Star, 2009
Credentials
Education
Catholic University of America, Columbus School of Law, JD, (law review), 1977
American University, BA, with honors, 1973
Admissions
District of Columbia