1185 Avenue of the Americas
New York, New York 10036
Fax: (212) 880-3998
Cell: (917) 275-5805
Hannah Berkowitz represents companies and individuals in regulatory proceedings and securities, antitrust and commercial litigation. She is an independent consultant and monitor for SEC settlements with broker-dealers and investment advisors. Ms. Berkowitz advises clients on legal and compliance policies and procedures. She is keenly focused on efficiently delivering excellent legal services and pragmatic advice.
Prior to joining Murphy & McGonigle, Ms. Berkowitz held senior positions in the general counsels’ offices of public companies. She was Group Executive and Senior Associate General Counsel at MasterCard Worldwide, heading up litigation, regulatory, and public policy globally. She was a Managing Director and General Counsel Litigation at UBS Financial Services Inc. (and its predecessor, PaineWebber, Incorporated), supervising in house lawyers and outside counsel in a broad range of federal and state courts litigation, sales practices and recruiting arbitrations and customer sales practices complaints. While at UBS, she also supervised lawyers in the corporate, mergers and acquisitions and hedge fund areas, and provided insurance and compliance advice.
Prior to PaineWebber, she was an associate at Davis Polk & Wardwell representing domestic and foreign companies in securities, antitrust and commercial litigation, and in criminal and SEC investigations, including an underwriter and financial advisor in federal and state actions arising out of the failure of First Republic Bank in Texas; an issuer in securities litigation arising out of alleged false earnings projections; an investment bank in Oklahoma actions relating to mortgage fraud; a financial institution in investigations and litigation relating to insider trading; and a foreign company and its executives in criminal antitrust grand jury proceedings. Ms. Berkowitz was a law clerk to the late Hon. William C. Conner in the United States District Court for the Southern District of New York.
Ms. Berkowitz was an Adjunct Professor at Pace Law School and a Visiting Lecturer at the University of Chicago School of Law. She served as an officer of the Compliance and Legal Division of SIFMA (previously SIA), and Chair of the Amicus Committees of SIFMA, SIA and the former Bond Market Association. She was a member of the National Arbitration & Mediation Committee and is a FINRA arbitrator. Ms. Berkowitz has been recognized as a New York Super Lawyer and is a recipient of the YMCA Women Achievers award.
J.D., with high honors, Rutgers University School of Law, 1978
B.A., summa cum laude, Brooklyn University, 1975
U.S. Supreme Court
U.S. Court of Appeals, Fifth Circuit
U.S. Court of Appeals, Second Circuit
U.S. District Court, Southern District of New York
- Murphy & McGonigle, New York, New York, 2011 to present
- Mastercard Worldwide, Purchase, New York, 2008 - 2010
- UBS Financial Services, New York, New York, 2000 - 2008
- PaineWebber Inc., New York, New York, 1994 - 2000
- Davis Polk & Wardwell, New York, New York, 1980 - 1994
- Law Clerk to the Hon. William C. Conner, U.S. District Court for the Southern District of New York, 1978-1980
- Clear Path to Pursuing Common Law Securities Claims Not “Assured”, NEW YORK LAW JOURNAL, Jan. 13, 2012 (with James Goldfarb).
- Co-Author, SIFMA White Paper on Arbitration in the Securities Industry, 2007
Seminars and Presentations
- PLI Understanding Financial Products, 2017, Panelist “Litigation Update”
- New York City Bar Association, In-House/Outside Counsel Litigation Group, 2016, "A Discussion of Issues Raised by the Yates Memo"
- SIFMA Compliance and Legal Society, 2016 Annual Seminar, Panelist “Private Client: Managing Regulatory Exams and Avoiding Enforcement Actions”
- “Mortgage-Related Products," Understanding Financial Products 2016, Practicing Law Institute, New York, January 28, 2016
- PLI Hedge Fund and Private Equity Enforcement and Regulatory Developments, 2014, Panelist “SEC Inspections and Examinations of Hedge Funds and Private Equity Firms”
- SIFMA Compliance and Legal Society, 2014 Annual Seminar, Panelist “Conflict Management – Retail and Institutional Issues”
- PLI Understanding Financial Products, 2014, Panelist “Mortgage-Related Products and CDOs”
- SIFMA Compliance Legal Society, 2013 Charlotte Regional Conference, Regulatory Update
- PLI Understanding Financial Products, 2012, Panelist “Other Perspectives on Financial Products: Accounting and Litigation Considerations”
- Member, Securities Industry and Financial Markets Association, Compliance & Legal (SIFMA-CL)
- Federal Bar Council