David Boch regularly advises clients on all aspects of compliance with federal, state and SRO regulations applicable to securities firms, broker-dealers, investment advisers and transfer agents. His practice includes advising clients concerning the design and implementation of supervisory and compliance programs, the review of existing policies and procedures, and the review of special supervisory procedures and registration issues. David also conducts internal investigations on behalf of both management and independent directors and/or trustees. In addition, he regularly represents clients in regulatory proceedings, private litigations and arbitrations. He represents clients in all segments of the securities industry including full-service, discount, bank, independent contractor and insurance broker-dealers, as well as dual registrants and transfer agents.
David speaks regularly at FINRA conferences and industry association meetings, including the SIA Annual Compliance and Legal Seminar and the annual and regional meetings of the National Association of Compliance Professionals. He is also the co-author of the firm’s annual Broker/Customer Litigation Outline.
- Chambers USA: America’s Leading Lawyers for Business, 2008
- American Bar Association
- Boston Bar Association
- Massachusetts Bar Association
- Chairman, Boston Bar Association's Business Section Securities Law Committee (1996-1998)
- Board of Directors of National Society of Compliance Professionals (1994-1998)
- Broker-Dealer Subcommittee of the Securities Litigation Committee of the Litigation Section of the ABA (1994-present)
- Admitted to practice in Massachusetts
- U.S. Court of Appeals, Seventh Circuit
- U.S. District Court, District of Massachusetts
- Massachusetts Supreme Judicial Court
- U.S. Court of Appeals, First Circuit
- Suffolk University Law School, Juris Doctor, 1979
- George Washington University, Master of Public Administration, 1976
- Harvard College, Artis Baccalaureate, 1975