Biography

Dan is the Associate Director over OCIE’s Office of Clearance and Settlement Examinations and has led that group since 2016.  That group examines the controls and liquidity of clearing agencies critical to the nation’s markets for compliance with the Dodd-Frank act and federal securities laws applicable to clearing agencies.  Dan is also the Associate Regional Director in charge of the Broker-Dealer Examination (BD Exam) Program in the Chicago Regional Office (CHRO) of the SEC and has led that group since 2014.  He joined the CHRO BD Exam Program as an Assistant Regional Director in 2007, where he led some of the CHRO’s and Commissions’ largest and most complex fraud, sales practice and market structure exams of regulated entities.  Prior to that, Dan spent 14 years with the SEC as an attorney in the CHRO’s Enforcement Group.  There, he served as an Assistant Regional Director of Enforcement directing notable investigations and prosecutions of complex fraud and regulatory matters.

Dan has also co-chaired and subsequently sponsored the OCIE’s New and Structured Products Specialized Working Group, where he directed and then supported that group’s efforts to identify such products, educate the exam staff as to the issues associated with them, inform policy and undertake National Exam Initiatives. Dan has also represented the Commission internationally, providing technical assistance and training to securities regulators from developing markets regarding the foundations of effective compliance systems and examination programs.   

Prior to joining the Commission, Dan spent seven years with private law firms in Chicago handling matters involving personal injury and commercial disputes, including commercial fraud claims.  Dan received his Bachelor of Science in Business Administration and his Juris Doctor from the University of Illinois in 1983 and 1986 respectively.

Associated Items

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Date
Program or Publication
Format
4/15/2019
On-Demand