Our General Counsel, has over 25 years of experience as corporate counsel, senior SEC regulator and private practitioner and has helped numerous companies proactively adapt to the constantly changing compliance and regulatory landscape of the financial services industry. Mr. Bergers served as the Vice-President of External Relations and General Counsel at Eastern Nazarene College from August 2020 through July 2021. Prior to joining Eastern Nazarene College, he was a Partner at Jones Day from July 2017 to February 2020, where he advised companies in the wealth management and FinTech space on their compliance obligations and represented them in regulatory examinations and investigations. Before joining Jones Day, he served as General Counsel and Managing Director for Legal and Government Relations at LPL from August 2013 to June 2017.

Mr. Bergers also spent over a decade working for the U.S. Securities and Exchange Commission from September 1998 to May 2000 and November 2001 to June 2013, including as Acting Deputy Director, Division of Enforcement, and Director of the SEC’s Boston office, with responsibility for oversight of registered investment advisers, broker-dealers and public companies in six New England states. Mr. Bergers previously held roles at Tucker Anthony Inc., Choate, Hall & Stewart LLP and Lowenthal & Abrams, P.C.