Jonathan A. Gottlieb

Jonathan Gottlieb joined RBS Greenwich Capital in 2004 and is a Managing Director, Associate General Counsel, and Head of Regulatory Advisory, responsible for providing regulatory advice on complex transactions, cross border-issues and general regulatory matters across all business units. In addition, Mr. Gottlieb manages the firm’s response to a wide range of regulatory inquiries from the SEC, FINRA and other regulators.

Prior to joining RBS Greenwich Capital in 2004, Mr. Gottlieb was a Director and Senior Counsel at UBS Investment Bank and a Corporate Vice President/Associate General Counsel at a predecessor firm, PaineWebber Incorporated. Prior to joining PaineWebber in 1997, Mr. Gottlieb was a Branch Chief for Broker-Dealer Enforcement in the Northeast Regional Office of the Securities and Exchange Commission. While at the SEC, from 1992 to 1997, Mr. Gottlieb was responsible for a number of high profile cases, including one of the first enforcement actions involving fraud committed on the internet, its case against Orlando Joseph Jett, the former Kidder Peabody government bond trader, cases involving “prime bank note” scams and cases involving violations of Federal Reserve Board credit regulations.

Mr. Gottlieb is a member of SIFMA’s Corporate Legal Advisory Committee, Government Legal Advisory Committee, and Institutional Capital Markets sub-Committee. Prior to attending law school, Mr. Gottlieb worked for three years as a proprietary options trader for a major broker-dealer. Mr. Gottlieb received his J.D. from Brooklyn Law School and his B.A. in history from Union College.