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.