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Daniel M. Hawke

Daniel M. Hawke

Division of Enforcement, U.S. Securities and Exchange Commission
Chief of the Market Abuse Unit
Philadelphia, PA, USA

National Unit Chief
Market Abuse Unit
Division of Enforcement

Dan Hawke is the Chief of the SEC Division of Enforcement’s Market Abuse Unit, a national specialized unit he has led since its formation in 2010. As Unit Chief, Mr. Hawke oversees nationwide investigations into complex market structure violations involving conduct by national securities exchanges, alternative trading systems, high frequency traders and other institutional market participants. He also supervises investigations into difficult-to-detect insider trading networks and rings – so-called “organized” insider-trading - as well as market manipulations involving, among other things, layering, spoofing, order anticipation, momentum ignition, short selling and other abusive trading practices.

In addition to his Unit Chief responsibilities, Mr. Hawke served as Director of the SEC’s Philadelphia Office from April 2006 through February 2014. In his capacity as Regional Director, Mr. Hawke oversaw the Commission’s examination and enforcement programs in Pennsylvania, Delaware, Maryland, Virginia, West Virginia and the District of Columbia. Prior to becoming Regional Director, he served as Associate Regional Director for Enforcement and head of Philadelphia's enforcement program between March 2005 and April 2006. Between 1999 and 2005, he served as a Branch Chief and Senior Counsel in the SEC’s Division of Enforcement in Washington, D.C. where he was involved in bringing significant enforcement actions involving public company accounting and financial disclosure, broker dealer regulation, insider trading and Regulation FD.

He is the recipient of the Commission’s Stanley Sporkin Award and the Ellen B. Ross Award.

Prior to joining the Commission, Mr. Hawke was a litigation partner at the law firm of Tucker, Flyer & Lewis in Washington, D.C. Mr. Hawke, 51, is a 1989 graduate of Boston University School of Law, where he was Editor-in-Chief of the Boston University International Law Journal, and a 1985 graduate of Tulane University where he received his bachelor’s degree in political science.


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