David Rosenfield concentrates his practice in white collar criminal defense, corporate internal investigations, securities regulation and litigation and bank regulation.
David represents and defends individuals and corporations before federal agencies such as the Department of Justice, U.S. Attorneys' Offices, the SEC, FDIC, and the Department of Health and Human Services; state agencies, such as the New York State Attorney General's Office and the New Jersey Division of Criminal Justice; and self-regulatory agencies, such as the Financial Industry Regulatory Authority.
David is a former prosecutor in the Frauds Division of the U.S. Attorney's Office for the District of New Jersey in Newark. David also has prior experience as an attorney in the Division of Enforcement of the Securities and Exchange Commission in Washington, D.C. David is a past chairperson of the White Collar Crime Committee of the American Bar Association's Business Law Section.
Prior to joining Herrick, David was senior counsel and manager of legal process at The Bank of New York, where he advised the bank’s Anti-Money Laundering Committee. He also conducted internal investigations, coordinated the bank’s responses to inquiries from federal and state bank regulators, and supervised the bank's 15-person legal process department, which processed and responded to legal papers served on the bank.
Government Prosecutorial Experience
While serving as a prosecutor in the Frauds Division of the U.S. Attorney’s Office for the District of New Jersey, David prosecuted white collar criminal cases, supervised lengthy investigations and coordinated the activities of Assistant U.S. Attorneys, federal law enforcement agents and investigators from regulatory agencies.
One of David’s cases, which involved a $100 million fraud against customers of a boiler-room brokerage firm, resulted in 14 guilty pleas and two convictions following a jury trial. David also was involved in two securities market manipulation cases, in which there were lengthy jury trials that resulted in convictions. David received letters of commendation from the Attorney General of the United States and the Director of the FBI for his successful prosecution of one of those manipulation cases, U.S. v. Eric Wynn, et al. (D.N.J.).
When David was an attorney in the Division of Enforcement of the SEC, he co-authored a paper entitled An Overview of Market Manipulation: Legal and Practical Aspects.
Memberships & Associations
- American Bar Association
- Business Law Section
- Former chairperson of the White Collar Crime Committee