Daniel A. Nathan

Partner

Washington D.C., (202) 887-1687

New York, (212) 468-8146

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Education

Massachusetts Institute of Technology (B.Sc., 1979)
;
New York University School of Law (J.D., 1983)

Practices

Securities Litigation, Enforcement + White-Collar Defense

Securities: Regulatory + Enforcement

Broker-Dealer Compliance + Regulation

Bar Admissions

New York
District of Columbia

Our BD/IA Regulator blog provides timely insights and recommendations on compliance, regulatory and enforcement matters.

FINRA AML Action

Negotiated a substantially reduced sanction on behalf of a broker-dealer in a case alleging several AML violations as well as other violations.

MF Global Investigation

Conducted an investigation, on behalf of the Chapter 11 Bankruptcy Trustee, of the collapse of a global financial institution and its FCM and broker-dealer subsidiaries.

SEC Investigation

Represented an individual in an investigation regarding insider trading and improper tipping.

Barclays LIBOR Investigation

Represents a former Barclays trader in the worldwide LIBOR investigations and litigations.

Expert Witness

Served as an expert witness regarding the scope and execution of the duties of a broker-dealer chief compliance officer.