Larry E. Bergmann Special Counsel MAIN OFFICE: Washington Willkie Farr & Gallagher LLP 1875 K Street, N.W. Washington, D.C. 20006-1238, U.S.A. T 202-303-1103 F 202-303-2103

Larry E. Bergmann is special counsel in the Corporate and Financial Services Department of Willkie Farr & Gallagher LLP in Washington.   A former Senior Associate Director in the Securities and Exchange Commission’s Division of Market Regulation, Mr. Bergmann concentrates on complex SEC regulatory matters. 

Mr. Bergmann specializes in securities law matters, with a focus on trading and underwriting issues, broker-dealer compliance, securities analysts, issuer repurchases, transfer agents, and Enforcement-related matters.

Mr. Bergmann is a member of the American Bar Association.

Mr. Bergmann has taught courses in securities at American University's Washington College of Law, the University of Maryland School of Business, and the University of Pennsylvania’s Wharton School.

Mr. Bergmann served with the SEC from 1975 through 2005.  He commenced his service as a staff attorney in the Northeast Regional Office and in 1978 transferred to the Division of Enforcement in Washington.  He was promoted to an Assistant Director for Trading Practices in the Division of Market Regulation in 1984 and to an Associate Director in 1988.  

As Senior Associate Director, Mr. Bergmann's responsibilities included administering the SEC’s trading practices rules, rules applying to short sales and research analysts, and “soft dollar” interpretations.  Additionally, he supervised the Commission’s oversight program for clearing agencies and transfer agents, and the Division of Market Regulation’s Enforcement Liaison Office.

Mr. Bergmann has received numerous awards, including the Commission’s highest, the Distinguished Service Award, and the Presidential Rank Meritorious Service Award.