Amanda J. Goldstein Associate

Amanda is a member of McGuireWoods’ nationally-recognized Government Investigations and White Collar department and a member of the Broker-Dealer practice within the Financial Institutions Industry Team. Amanda regularly represents financial services clients in complex securities matters, focusing on internal investigations, regulatory enforcement proceedings brought by the SEC, FINRA, and other federal and state financial regulators, and related litigation.

Amanda has extensive experience advising broker-dealers, investment advisers, and registered representatives on matters involving sales practice issues, alleged employee misconduct (including allegations of fraud, misappropriation, selling away, and unauthorized trading), potential supervisory liability, and regulatory reporting.

Amanda also maintains an active pro bono practice, including experience defending asylum seekers in removal proceedings and preparing petitions for executive clemency for consideration by the Governor of New York.

While in law school, Amanda was an Alexander Fellow for the Honorable Vincent L. Briccetti, United States District Court for the Southern District of New York, and a judicial intern for the Honorable Margaret Cangilos-Ruiz, United States Bankruptcy Court for the Northern District of New York.

Experience

Represented a financial services firm with respect to an internal investigation, parallel regulatory investigations by the SEC and FINRA, as well as resultant civil litigation, involving senior financial advisors accused of forgery, misappropriation, unauthorized trading, and bank fraud.

Served as lead counsel in connection with a FINRA investigation into the adequacy of a broker-dealer’s controls surrounding third party disbursements, resulting in a no action letter.

Conducted sensitive internal investigation on behalf of a financial institution into suspected market manipulation occurring across multiple customer accounts and advised on proactive self-disclosure of findings to regulatory agencies.

Represented a financial services firm in connection with an investigation by the SEC’s Division of Enforcement into alleged fraud perpetrated by a senior financial advisor and member of the firm’s management team.

Represent a broker-dealer with respect to internal investigations and regulatory disclosure of errors in the firm’s securities trading reports, including with respect to FINRA’s Order Audit Trail System (OATS), the Consolidated Audit Trail (CAT), and the Large Options Position Report (LOPR).

Conducted an internal investigation on behalf of a broker-dealer into suspected selling away by a senior financial advisor and defended the broker-dealer in the corollary FINRA Enforcement proceeding.

Represented a broker-dealer in defending against a customer complaint alleging misappropriation by a financial advisor, resulting in a favorable settlement.

Represented a financial services firm and an individual trader in connection with investigations conducted by the United States Department of Justice and the State of Oregon’s Office of the Attorney General concerning alleged bid-rigging.

Represented broker-dealer in parallel FINRA and state regulatory investigations into unauthorized trading and misrepresentations by a former financial advisor.

Represented a broker-dealer and individual firm employees in a FINRA Enforcement investigation into the supervision of options-related trading.

Defended a broker-dealer in response to customer complaints dually filed with the SEC and FINRA raising allegations of embezzlement and failure to follow instructions.

Represented an investment advisor in an SEC investigation involving conflicts of interest relating to selection of asset managers and the adequacy of the related disclosures.

Represented a broker-dealer in connection with an internal investigation and corollary regulatory investigations related to foreign currency exchange practices.

Represented individual bank employee in connection with a Foreign Corrupt Practices Act investigation related to the bank’s international hiring practices.

Represented former investment bank executive in connection with an investigation into possible fraud by one of the bank’s international clients being conducted by the Belgian Federal Police in conjunction with the United States Attorney’s Office for the Southern District of New York.

Successfully sought enforcement of arbitration provision in breach of contract action filed in New York State Court.

  • Benjamin N. Cardozo School of Law, Yeshiva University, JD, magna cum laude, Order of the Coif, Dean’s Distinguished Scholar, Articles Editor, Cardozo Law Review, 2014
  • Binghamton University, State University of New York, BS, Economics, cum laude, 2011
  • New York
  • U.S. District Court for the Eastern District of New York
  • U.S. District Court for the Southern District of New York
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