FacultyFaculty/Author Profile
Daniel Nathan

Daniel Nathan

Morvillo LLP

Washington, DC, USA


Daniel Nathan, a partner at Morvillo LLP, uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators.  With a combined 26 years as a senior enforcement official with the SEC, CFTC and FINRA, he is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators.

Mr. Nathan provides clients facing SEC and FINRA examinations and enforcement investigations with detailed guidance and counsel related to broker-dealer supervisory procedures, sales practices, research, anti-money laundering, product disclosure and supervision, and securities and broker registration.  He also represents clients in SEC investigations involving financial reporting, insider trading, the JOBS Act, Dodd-Frank Act, ETFs, and the EB-5 Visa program.  On the derivatives side, he represents energy companies and traders and other market participants in CFTC and derivatives SRO investigations.  Mr. Nathan also speaks and writes frequently on a wide range of topics concerning financial institutions and enforcement.

Daniel Nathan is associated with the following items:
Web Segment  Web Segment Commencing the Internal Investigation: Considerations at the Outset - Internal Investigations 2017, Tuesday, June 20, 2017
The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017, Friday, September 29, 2017
The Responsibilities of In-House Counsel and Compliance Personnel - Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017, Friday, September 29, 2017
CHB Chapters  CHB Chapters Daniel Nathan, Jason Somensatto and Jorge Pesok, Internal Investigations: Defining the Government’s Role - Internal Investigations 2017, Tuesday, June 20, 2017
MP3 Audio  MP3 Audio Commencing the Internal Investigation: Considerations at the Outset - Commencing the Internal Investigation: Considerations at the Outset , Tuesday, June 20, 2017
The Responsibilities of In-House Counsel and Compliance Personnel - The Responsibilities of In-House Counsel and Compliance Personnel, Friday, September 29, 2017
The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals , Friday, September 29, 2017
Transcripts  Transcripts Commencing the Internal Investigation: Considerations at the Outset - Commencing the Internal Investigation: Considerations at the Outset , Tuesday, June 20, 2017
The Responsibilities of In-House Counsel and Compliance Personnel - The Responsibilities of In-House Counsel and Compliance Personnel, Friday, September 29, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Commencing the Internal Investigation: Considerations at the Outset - Commencing the Internal Investigation: Considerations at the Outset , Tuesday, June 20, 2017
The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals - The Government’s Perspective: Duties of In-House Counsel and Compliance Professionals , Friday, September 29, 2017
The Responsibilities of In-House Counsel and Compliance Personnel - The Responsibilities of In-House Counsel and Compliance Personnel, Friday, September 29, 2017
On-Demand Web Programs  On-Demand Web Programs Internal Investigations 2017, Monday, June 26, 2017, New York, NY
Storming the Gatekeepers: When Compliance Officers and In-House Lawyers Are at Risk 2017, Wednesday, October 04, 2017, New York, NY
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