Mitchell B. Goldberg

Mitchell B. Goldberg is a seasoned litigator and trained mediator. With significant experience representing business and financial services clients in regulatory matters, commercial disputes, customer arbitrations, and other cases, Mitch has advocated in matters before Illinois state and federal courts ranging from securities fraud cases, to contract disputes and enforcement of restrictive covenants, to trust litigation and guardianship matters. He also has represented regional and national clients in arbitrations before the National Futures Association (NFA), the Financial Industry Regulatory Authority (FINRA) and various exchanges, as well as some foreign arbitration forums.

Mitch proactively works with in-house counsel to resolve and prevent litigation, whether it be customer complaints or business-to-business disputes. He has also represented companies and their employees in regulatory inquiries and enforcement matters before self-regulatory organizations and a variety of federal and state agencies, including the U.S. Securities and Exchange Commission, U.S. Commodity Futures Trading Commission, Illinois Securities Department and Illinois Department of Financial and Professional Regulation.

Apart from his legal practice, Mitch is active in numerous bar associations and legal organizations and has served as the president of the Decalogue Society of Lawyers, America’s oldest Jewish bar association. Mitch has served as a member of the adjunct faculty at IIT’s Chicago-Kent College of Law, where he has taught courses on securities litigation. Mitch is also devoted to giving back to his community and serves as a volunteer director of several organizations. With his loving wife, Natasha, Mitch tries to teach his four kids, Rachel, Zachary, Jesse and Abigail, about the importance of education, service and kindness.

Bar Admissions

• State of Illinois

Court Admissions

• United States District Courts
  • Northern District of Illinois
• United States Courts of Appeals
  • Seventh Circuit

Professional Affiliations

• Decalogue Society of Lawyers
  • Board of Managers (2006-Present)
  • President (2017-2018)
• Chicago Bar Association
  • ADR Committee Chair (2005-2007)
  • Securities Committee Member (1999-Present)
• Chicago Lincoln American Inn of Court
  • Vice President/Treasurer (2014-2016)
  • Executive Board (2006-2019, 2012-2016)
• DePaul University College of Liberal Arts and Social Sciences
  • Dean’s Advisory Council
  • Vice Chair (2010-2014)
  • Vice Chair (2009-2010)
• Securities Industry and Financial Markets
  • Association, Compliance and Legal Division

Professional Experience

• Lawrence Kamin, LLC
  • Operations Committee: 2010-Present
  • Partner: 2007- Present
  • Associate: 2001-2007
• Blau & Bonavich, 1999-2001
• IIT/Kent Center for Law and Financial Markets,
  • Adjunct Faculty, 2007-2017
• Northwestern University School of Continuing Studies
  • Mediation Coach 2013-2018

Education

• DePaul University College of Law, J.D.,
  With Honor, Order of the Coif, 1999
• DePaul University College of Liberal Arts and Sciences, B.A.
  History, With Highest Honor, 1991

Reframing Legal Argument Turns Feared Defeat into Complete Victory

$6 million claim against a large U.S. grain merchant denied and counterclaim sustained after Lawrence Kamin recast arguments regarding a complex international treaty dispute into a simple breach of contract case.

Following NFA Arbitration, Subsequent Reparations Case Dismissed as Time Barred

After a $3.6 million dollar claim was dismissed against an FCM client based on a 1-year contractual limitations period and following denial of claims at hearing against a guaranteed IB, the claimants sought to assert a CFTC Reparations case against the FCM. Lawrence Kamin won summary dismissal of the Reparations complaint on the basis that it was time barred; the claimants’ choice to pursue an NFA arbitration did not serve to toll the 2-year limitations period for filing a Reparations complaint. The CFTC’s dismissal of the matter was subsequently affirmed by the 7th Circuit Court of Appeals.

Novel Approach to Mediation Allows for Settlement of Arduous Litigation

After educating themselves about the matters involved in a large, complex multi-jurisdictional dispute, Lawrence Kamin attorneys, serving as co-mediators, identified areas which would have to be addressed in a settlement. After getting the parties to agree to the list of outstanding issues, each side was asked to draft language relating to each issue for an agreement. Seeing that many issues were uncontested, the mediation was conducted on a clause-by-clause basis, moving from easiest to most difficult points of contention. The agreement to the easier points created momentum and buy-in among the principals to continued negotiations and, ultimately, settlement of all outstanding matters.

Recent Enforcement Orders Remind FCMs: Train Your Brokers on Post- Execution Allocation Rules.

With the Imminent Rollout of the New AML Rules, Compliance Training is Key

Illinois Distributor’s Statute: Navigating the Litigation “Off Ramp” for Non-Manufacturer Defendants After Cassidy v. China Vitamins LLC

Outside Business Activity*, Practical Compliance and Risk Management for the Securities Industry

Outside Business Activity (Part 3 of 3)

Outside Business Activity (Part 2 of 3)

Outside Business Activity (Part 1 of 3)

National Society of Compliance Professionals: Outside Business Activity

Outside Business Activity*, Practical Compliance and Risk Management for the Securities Industry Outside Business Activity (Part 1 of 3), NSCP Currents Outside Business Activity (Part 2 of 3), NSCP Currents Outside Business Activity (Part 3 of 3), NSCP Currents National Society of Compliance Professionals, National Membership Meeting. Philadelphia, Pennsylvania Illinois Distributor’s Statute: Navigating the Litigation “Off Ramp” for Non-Manufacturer Defendants After Cassidy v. China Vitamins LLC  FINANCIAL SERVICES Recent Enforcement Orders Remind FCMs: Train Your Brokers on Post- Execution Allocation Rules.