Linda Riefberg represents clients in securities enforcement investigations, engages in broker-dealer counseling and handles other regulatory matters before the Securities and Exchange Commission, Financial Industry Regulatory Authority and state securities regulators. She also handles securities-related litigations and arbitrations and does counseling on broker-dealer issues.
Linda is a former chief counsel in the Department of Enforcement of FINRA. During her tenure at FINRA, Linda oversaw a variety of investigations and disciplinary actions involving violations of federal securities laws and FINRA or NYSE rules related to market timing, stock lending, structured products, bond funds, insider trading, fraud, market manipulation, sales practice misconduct, financial operations, revenue sharing, email retention and research issues. Prior to the merger of the enforcement arms of the National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) in 2007, she was a department head and enforcement director at the NYSE, where she coordinated the regulatory investigation that led to the Global Research Analyst Settlement.
Linda has been a frequent panelist on a range of topics including enforcement trends, research, e-discovery and Dodd-Frank developments. She serves on the editorial boards of the Journal of Securities Law, Regulation and Compliance and Journal of Securities Operations and Custody. Her published works include an article in the Journal of Securities Compliance, "Eliminating influence by and on the research analyst: Recent enforcement activity and current regulatory priorities," and an article in the Journal of Securities Law, Regulation and Compliance, "The impact of e-mail on broker-dealers."
Linda serves as Chair of the Harpur Law Council, a group of Binghamton University alum mentoring and supporting undergraduates who are considering law as a career. She is also on the boards of United Neighborhood Houses and the New York Regional Board of the Anti-Defamation League. Linda graduated from New York University School of Law, where she was editor of the Journal of International Law and Politics. Linda has also been recognized in Law360's list of the 25 Most Influential Women in Securities Law 2016.