Daniel Nathan is a long-time practitioner and expert in securities and broker-dealer regulation and enforcement. He has represented U.S. and international financial institutions and individuals before financial regulators, including the SEC, CFTC and FINRA, and provided regulatory and compliance advice. The investigations and litigations on which he has represented many major financial institutions and their officers include matters involving financial reporting; broker-dealer sales practices, compliance and supervision; investment company products, securities and commodities manipulation; insider trading; and securities offerings.
Dan formerly was a partner in the securities enforcement and white-collar defense practices of two global law firms as well as a boutique law firm specializing in litigation and securities enforcement defense. Dan previously served as a senior enforcement official with the SEC, CFTC and FINRA. Before joining the private sector, Dan served as the Vice President and Regional Enforcement Director of the Financial Industry Regulatory Authority (FINRA), where he oversaw 70 lawyers across 15 offices responsible for bringing up to 900 disciplinary actions annually against broker-dealer firms, registered representatives and associated persons. During his 9 years with the CFTC, he served as Deputy Director of Enforcement, with responsibility for oversight of the agency’s Enforcement Division. In his 12 years at the SEC, Dan served as Assistant Director in the Division of Enforcement, where he supervised federal securities investigations of insider trading (including the investigation that resulted in the seminal case US v. Hagan), market manipulation, financial fraud and accounting misconduct.
Dan has a JD from the New York University School of Law and a Bachelor of Science in Economics from the Massachusetts Institute of Technology.