Larry E. Bergmann

Larry's practice focuses on complex regulatory matters, with a focus on trading and underwriting issues, short sale regulation, broker-dealer compliance, securities analysts, issuer repurchases, and transfer agents. A longtime lawyer in the Securities and Exchange Commission's Division of Trading and Markets, he also advises on enforcement-related matters.

In his 30 years at the SEC, Larry rose to become the agency's senior associate director for trading practices and processing in the Division of Market Regulation (now the Division of Trading and Markets), where his responsibilities included administering the SEC's trading practices rules, rules applying to short sales, the activities of research analysts, issuer repurchases, and "soft dollar" interpretations. He previously served as assistant director for trading practices in that division and as a branch chief in the Division of Enforcement.

Larry received multiple distinctions at the SEC, including the agency's highest honor, the Distinguished Service Award. He participated in a variety of SEC task forces, and co-chaired task forces on soft dollars (use of client brokerage commissions by fiduciaries to purchase products and services) and the rewriting of the SEC's rules of administrative practice.

Larry served as a board member and chair of the Regulatory Oversight Committee of Direct Edge Exchange and serves as a volunteer at the Jefferson Library of the Thomas Jefferson Foundation in Charlottesville, Virginia.