Daniel Nathan is a partner in the firm's Securities Litigation, Enforcement and White-Collar Defense Group. Mr. Nathan's practice includes representation of companies and individuals who are involved as witnesses or subjects in investigations conducted by the SEC, the CFTC, FINRA and other regulatory entities involving financial institutions or transactions. Mr. Nathan also consults with financial institutions on supervisory procedures and other regulatory matters.
Mr. Nathan is the former Vice President and Regional Enforcement Director for the Financial Industry Regulatory Authority (FINRA). During his five-year tenure at FINRA, Mr. Nathan oversaw a 70-lawyer team across 15 offices responsible for bringing up to 900 disciplinary actions annually against broker-dealer firms, registered representatives and associated persons. This included many of FINRA's most significant nationwide examinations and enforcement actions.
In his 12 years at the SEC, Mr. Nathan served as Assistant Director in the Division of Enforcement, where he supervised federal securities investigations of insider trading, market manipulation, financial fraud, and accounting misconduct. In nine years with the CFTC, Mr. Nathan served as Deputy Director of Enforcement, with responsibility for oversight of the agency's Enforcement Division. He also created the CFTC's Office of Cooperative Enforcement, which dramatically expanded the joint enforcement efforts between the CFTC, the Department of Justice, the SEC, and state authorities.
Mr. Nathan is admitted to practice in New York.
- Massachusetts Institute of Technology (B.Sc., 1979)
- New York University School of Law (J.D., 1983)
Mr. Nathan regularly speaks on securities litigation and white-collar crime issues, and has made presentations at events sponsored by many industry and government groups. His most recent appearances include:
- ALI-ABA Litigation Committee, Subcommittee on Self-Regulatory Organizations
- ALI-ABA Insurance Section
- SEC/FINRA Joint Regulatory Conference