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Jon Eisenberg

Fax +1.202.778.9100

Jon Eisenberg is a partner in the firm’s Washington, D.C. office. He focuses on representing financial institutions and individuals in enforcement matters, litigation, and internal investigations.

Professional Background
After leaving the SEC’s Office of General Counsel, Mr. Eisenberg spent roughly half his career in private practice and half in senior in-house positions. He served as General Counsel for UBS Wealth Management Americas, where he headed the legal department responsible for regulatory relationships, litigation, and legal issues involving the broker-dealer and its affiliated bank. Before that, he was General Counsel for Merrill Lynch Global Markets & Investment Banking Litigation and Co-Head of Merrill Lynch Global Litigation, Employment, and Regulatory Affairs. At Merrill Lynch, Mr. Eisenberg helped bring to successful conclusions class actions involving Enron, the bursting of the Internet bubble, alleged manipulation of IPO prices, and execution practices involving Nasdaq market orders. He was a member of the team that developed Merrill Lynch’s successful strategy in the Supreme Court and appellate courts for preempting state law securities class actions, preempting federal antitrust actions involving securities-related activities, preventing so-called “scheme” liability, and establishing the standards for loss causation – decisions that have resulted in the dismissal of billions of dollars of claims. During more than sixteen years in private practice, Mr. Eisenberg has represented firms and individuals in class actions, government investigations, and arbitrations.

  • “Litigation – Individual of the Year Award 2007,” presented by International Law Office.com in conjunction with the Association of Corporate Counsel
Professional/Civic Activities
  • Former Member, Board of Directors of the New York City Bar Justice Center
  • Former Chair, Corporations, Finance, and Securities Law Section of the D.C. Bar
  • Former Chair of the Section Chairs of the D.C. Bar
  • Former Co-Chair, Civil Litigation and SEC Enforcement Subcommittee, American Bar Association Business Law Section
  • Former Member, Amicus Committee, Securities Industry Association (now “SIFMA”)
  • Former Member, Board of Editors, LexisNexis securities law publications
Speaking Engagements
  • Panelist, “From Examination to Enforcement: Examinations and Enforcement Actions Involving Hedge Funds and Private Equity Funds,” Alternative Investment Management Association Hedge Fund Manager Training, New York, NY, January 27, 2016
  • Speaker on panels sponsored by SIFMA, the Investment Company Institute, PLI, ALI-ABA, Glasser Legal Works, and the American Conference Institute.

Mr. Eisenberg is the General Editor of and a contributor to Litigating Securities Class Actions, published by the Matthew Bender division of Lexis/Nexis, as well as the author of Beyond the Basics: Seventy-Five Defenses Securities Litigators Need to Know and dozens of other articles on government enforcement actions and litigation issues.

  • Defended public company in class action alleging securities fraud
  • Defended broker-dealer in SEC investigation of conflicts of interest
  • Defended broker-dealer in SEC investigation of share class selection
  • Defended CEO of broker-dealer in FINRA investigation of AML practices
  • Led internal investigation of commercial bank related to loan modification issues
  • Led internal investigation of commercial bank related to bankruptcy practices
  • Defended trader in FINRA investigation of trading practices
  • Defended mortgage servicer in CFPB investigation of mortgage-servicing and collection practices
  • Defended market maker in class actions involving pricing and quotation practices
  • Defended investment adviser in district court actions alleging excessive advisory fees
  • Defended publicly-traded issuer and its president in state court derivative action alleging excessive compensation
  • Defended senior executive officer of publicly-traded company in action challenging fairness of affiliated transactions
  • Defended broker in FINRA/SEC action involving the sale of limited partnership interests
  • Defended broker in arbitration alleging churning and unsuitable recommendations
  • Defended underwriter in SEC investigation of municipal bond sales
  • Defended investment adviser, chairman of the board, compliance officer, and others in SEC investigation of cross trades, personal trading and disclosure practices
  • Defended investment adviser and its president in SEC investigation of securities lending and disclosure practices
  • Defended investment adviser in SEC investigation of recordkeeping and disclosure practices
  • Defended broker and its president in SEC investigation of escrow and disclosure practices
  • Defended publicly-traded company in SEC investigation of financial statements and reports
  • Defended former bank president in SEC investigation of loan loss reserves and loans to outside auditing firm
  • Defended former government official in SEC investigation of disclosures in connection with a tender offer
  • Defended principal of brokerage firm in SEC investigation of possible violations of antifraud provisions
  • Defended broker-dealer and principal in SEC investigation of possible violations of registration and antifraud provisions
  • Defended investment firm and individuals in SEC investigation of possible manipulation of government treasury market
  • Defended real estate developer in SEC investigation of possible securities fraud
  • Defender promoter in SEC investigation of penny stock-related violations
  • Defended multi-service financial institution in SEC investigation of breach of duty of best execution
  • Defended investment adviser to mutual funds in SEC investigation of advertising claims
  • Defended multiple individuals in multiple SEC investigations into insider trading issues