FacultyFaculty/Author Profile

Dana G. Fleischman

Latham & Watkins LLP

New York, NY, USA


Dana Fleischman is a partner in the New York office of Latham & Watkins and is a member of the firm’s Financial Institutions Group. Ms. Fleischman’s practice focuses on matters involving the regulation of broker-dealers and securities markets. Her clients consist of major investment banks, leading financial trade associations, electronic trading platforms, investment advisers, exchanges, clearing organizations, and non-US banks and bank holding companies. She advises clients on a variety of issues, including those involving cross-border securities transactions and mergers and acquisitions of regulated entities. She also has extensive experience representing clients in public offerings and private placements and assists clients in connection with internal investigations and enforcement matters.

She advises clients on a wide range of corporate and regulatory compliance matters, including in connection with mergers and acquisitions and cross-border transactions. She also has extensive experience representing US and non-US corporate and investment banking clients in public offerings and private placements and assists clients in connection with internal investigations and enforcement matters.

Ms. Fleischman counsels securities firms and trade associations with respect to, and has been actively involved in commenting on, significant regulatory initiatives and rule-making proposals and has been instrumental in obtaining no-action relief, exemptive orders and interpretive guidance from various regulatory bodies and self-regulatory organizations (including the Securities and Exchange Commission and the Financial Industry Regulatory Authority) on behalf of both US and foreign-based clients.

Ms. Fleischman is a frequent speaker at industry conferences and writes on various aspects of securities law and broker-dealer regulatory matters. She is distinguished as one of the country’s leading financial services broker dealer regulation lawyers by Chambers USA and is also listed as a leading lawyer in The Best Lawyers in America and Super Lawyers of New York.

Ms. Fleischman is a member of the Bar in New York. She is also a member of the American Bar Association’s Federal Securities Regulation Committee, is Vice Chair of the ABA’s Trading and Markets Subcommittee, and is a member of the Securities Industry and Financial Markets Association Compliance and Legal Division.

Bar Qualifications
  • New York

Education
  • JD, Yale Law School, 1989
  • BA, Emory University, 1986
    • high honors
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