Mr. Nathan is a partner in the firm’s Securities Litigation, Enforcement and White-Collar Defense Group. Mr. Nathan’s practice includes representation of companies and individuals who are involved as witnesses or subjects in investigations conducted by the SEC, the CFTC, FINRA and other regulatory entities involving financial institutions or transactions. Mr. Nathan also consults with financial institutions on examinations, supervisory procedures, product disclosure and supervision, and other regulatory matters.
Mr. Nathan is the former Vice President and Regional Enforcement Director for the Financial Industry Regulatory Authority (FINRA). During his five-year tenure at FINRA, Mr. Nathan oversaw 70 lawyers across 15 offices responsible for bringing up to 900 disciplinary actions annually against broker-dealer firms, registered representatives and associated persons. This included many of FINRA’s most significant nationwide enforcement actions, including actions and sweeps involving mutual fund breakpoints, structured products sales practices and supervision, auction rate securities advertising, disclosure and supervision, private placement due diligence and disclosure, mutual fund prospectus delivery, anti-money laundering procedures, and market timing. Mr. Nathan also closely collaborated with FINRA’s Member Regulation examination staff.
In his 12 years at the SEC, Mr. Nathan served as Assistant Director in the Division of Enforcement, where he supervised federal securities investigations of insider trading, market manipulation, financial fraud, and accounting misconduct. In nine years with the CFTC, Mr. Nathan served as Deputy Director of Enforcement, with responsibility for oversight of the agency’s Enforcement Division. He also created the CFTC’s Office of Cooperative Enforcement, which dramatically expanded the joint enforcement efforts between the CFTC, the Department of Justice, the SEC, and state authorities. In those roles, Mr. Nathan closely focused on market manipulation, trade practices, commodity trading advisor practices, and foreign exchange dealer practices.
Mr. Nathan received his J.D. from New York University School of Law, where he served as articles editor for the Journal of International Law and Politics, and graduated from the Massachusetts Institute of Technology with a B.Sc. in Economics. He is admitted to practice in New York.