Donald N. Cohen: Lawyer with Greenberg Traurig, LLP

Donald N. Cohen

New York,  NY  U.S.A.

Peer Rating
AV® Preeminent

Client Rating

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Practice Areas

  • Litigation
  • Financial Regulatory and Compliance Group
  • Securities Litigation
Contact InfoTelephone: 212.801.2171
Fax: 212.801.6400
University University of Pennsylvania, B.A., summa cum laude, 1980; Harvard Defenders Program
Law SchoolHarvard Law School, J.D., 1983
Admitted1984, New York; 1985, New Jersey; U.S. Court of Appeals for the Second Circuit; U.S. Court of Appeals for the Third Circuit; U.S. District Court for the District of New Jersey; U.S. District Court for the Eastern District of New York; U.S. District Court for the Southern District of New York; Supreme Court of the United States

Professional & Community Involvement

•Member, Securities Industry and Financial Markets Association (SIFMA), Compliance & Legal Division
•Former Member, SIFMA Arbitration Committee
•Member, Federal Bar Council
•Member, American Bar Association
•Member, New York State Bar Association
•Member, Association of the Bar of the City of New York
•Arbitrator, Financial Industry Regulatory Authority
•Mediator, Trained by the Safe Horizon Mediation Program

BornNew York, N.Y., October 28, 1958

Donald N. Cohen is a litigator who represents broker-dealers and their employees in virtually all aspects of their business. He is experienced in arbitrations and mediations before the Financial Industry Regulatory Authority (FINRA) (which combined the arbitration and enforcement functions of the National Association of Securities Dealers (NASD) and the New York Stock Exchange (NYSE)) and the American Arbitration Association (AAA), and in regulatory and enforcement proceedings before the Securities and Exchange Commission (SEC), FINRA and other regulatory and self-regulatory organizations. Donald also provides regulatory and compliance advice to broker-dealers and investment advisors and conducts internal investigations for them. He has wide-ranging experience in a broad range of commercial litigation matters.

Before joining Greenberg Traurig, Donald served as executive vice president and general counsel of Gruntal & Co., L.L.C., a national broker-dealer, where he managed all of its legal and compliance affairs including regulatory matters, litigations and arbitrations, employment matters, internal investigations, investment advisory matters, contracts and corporate transactions.

Areas of Concentration
•Securities/Broker-Dealer arbitration and mediation
•Securities/Broker-Dealer regulatory practice
•Securities/Broker-Dealer compliance counseling
•Broker-Dealer employment matters
•Internal investigations
•Investment advisory matters
•Commercial litigation

Awards & Recognition
•Rated, AV Preeminent 5.0 out of 5

AV, BV, AV Preeminent and BV Distinguished are registered certification marks of Reed Elsevier Properties Inc., used under in accordance with the Martindale-Hubbell certification procedures, standards and policies.

Associated News & Events
Press Releases
Greenberg Traurig Names New Shareholders and Of Counsel in New York Office
Greenberg Traurig, LLP Names New Shareholders: Class of 2008 is More than 50 Percent Minorities/Women
Donald N. Cohen Joins Greenberg Traurig's Litigation Department in New York

FINRA Plans to Begin Large Case Pilot Program on July 2, 2012
U.S. District Court for The Eastern District of New York Gives Priority to Forum Selection Clause Over Prior Arbitration Agreement (Also at White Plains Office)

Reported CasesDefended SEC investigation of broker-dealer investment advisory units and supervised and coordinated settlement with the SEC, including management of client refunds and coordination with an independent consultant appointed by the SEC pursuant to the settlement order.; Represented broker-dealers and employees in customer and employment arbitrations before FINRA, the NASD, the NYSE and the AAA.; Represented broker-dealers and registered representatives regarding regulatory inquiries, investigations, proceedings and enforcement actions conducted by the SEC, FINRA, NYSE, NASD and other regulatory and self-regulatory organizations.; Represented broker-dealers in raiding cases.; Drafted policies and procedures for broker-dealers concerning sales practice and compliance issues and led in-house training sessions on these issues.; Drafted and implemented broker-dealer's first investment advisory compliance manual and led in-house training on the policies and procedures.; Advised broker-dealer regarding legal and compliance issues arising from implementation of fee-based non-investment advisory account program.; Managed process of obtaining an interpretive release from the SEC allowing principal and agency cross trades in an investment advisory program utilizing outside money managers.

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#2,156 in weekly profile views out of 101,511 lawyers in New York, New York
#31,804 in weekly profile views out of 1,737,454 total lawyers Overall

Office Information

Donald N. Cohen

200 Park Avenue
New YorkNY 10166


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