David . Bergers
LPL Financial Holdings Inc
David Bergers is general counsel of LPL Financial Holdings Inc. and managing director of Legal and Government Relations at LPL Financial. He is responsible for the teams that work closely with all areas of the company to help LPL Financial proactively adapt to the changing legal and regulatory landscape of the financial services industry. Mr. Bergers has more than 20 years of industry experience as a practicing attorney, corporate counsel, and government regulator. He joined LPL Financial in 2013 from the Securities and Exchange Commission, where he served 13 years, most recently as acting deputy director of the enforcement division in Washington, DC. From 2006 to 2013, he served as director of the SEC's Boston regional office, overseeing a team of 150 people, and helped transform the national enforcement and examination programs. As acting deputy director, Mr. Bergers helped oversee a department of 1,300 people responsible for protecting investors and enforcing the federal securities laws. The SEC recognized him in 2010 with the Stanley Sporkin Award for his leadership in reorganizing and transforming the enforcement division, and again in 2011 and 2012 with the SEC and NTEU-Management Relations Award for his work in restructuring the national examination program. Previously, Mr. Bergers was vice president and assistant general counsel at Tucker Anthony, an independent investment banking and brokerage firm that was later acquired by Royal Bank of Canada, and counsel to Freedom Capital Management, an affiliated investment adviser. Mr. Bergers also was a litigator for several years with law firms in the Boston and Philadelphia areas. Mr. Bergers earned a law degree from Yale Law School and a Bachelor's in history from Eastern Nazarene College in Massachusetts.
(05/16)
