Daniel A. Goldfried


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  • The George Washington University Law School, JD, with Honors; Member, The George Washington Law Review, 1994
  • University of Virginia, BA, Foreign Affairs, 1991
  • New York
  • U.S. District Court for the Eastern District of New York
  • U.S. District Court for the Southern District of New York

Member, New York State Bar Association Committee on White Collar Criminal Litigation

Member, New York State Bar Association Sub-Committee on Securities Fraud

Member, SIFMA Legal and Compliance Division

Dan concentrates his practice on government investigations, with an emphasis on securities enforcement and compliance. He represents public companies, public accounting firms, broker-dealers, private equity firms, hedge funds, investment advisers, and their officers, directors and employees in a broad range of government investigations. He has significant experience in managing parallel civil and criminal investigations and conducting internal investigations. 

Prior to joining McGuireWoods, Dan served as Assistant General Counsel and Senior Vice President of the Regulatory Inquiries Group at Bank of America and Merrill Lynch.  During his ten years at the Bank, Dan managed high profile, complex regulatory investigations, including the Bank’s financial crisis investigations, conducted by the SEC, DOJ, State Attorneys General (including the New York and California Attorneys General and the Massachusetts Securities Division), FINRA, the CFTC,  and international regulators. These matters involved fixed income securitization, underwriting, sales and trading, research, insider trading, FCPA, AML and retail brokerage issues.  Dan also conducted internal investigations of Bank employees for possible sales practice abuses and other forms of alleged regulatory misconduct.

Prior to joining the Bank, Dan was a Senior Counsel at the SEC’s Division of Enforcement in New York. While there, he managed multiple significant investigations involving mutual fund market timing, insider trading by hedge funds, market manipulation by an international investment bank, and financial fraud by insurance companies.

Dan began his career as a commercial litigator at one of the largest law firms in the desert Southwest, where he was elected partner in 2003.

Upon graduating law school, Dan clerked for Chief Judge Robert C. Broomfield, U.S. District Court for the District of Arizona and the Honorable Lawrence S. Margolis, U.S. Court of Federal Claims.

In the News

Daniel Goldfried
T: +1 212 548 2166F: +1 212 715 62661345 Avenue of the Americas
7th Floor
New York, NY 10105-0106

Represented a broker-dealer in multiple investigations into its fixed income securitization and sales practices.

Represented a senior fixed income structured product trader in an SEC investigation involving alleged market manipulation.

Represented a senior fixed income trader in an SEC investigation of alleged fraudulent trading practices.

Represented a broker-dealer and retail branch supervisors in a FINRA investigation concerning supervision of registered representatives.

On behalf of a broker-dealer, conducted an internal investigation into whistleblower allegations of numerous compliance related violations by a Financial Adviser and his Sales Assistant.

On behalf of a broker-dealer, conducted an internal investigation into whistleblower allegations that it failed to adequately maintain, follow and enforce policies and procedures designed to protect material non- public information.

Represented a Research Analyst in an investigation by the SEC and US Attorney’s Office regarding financial fraud by a covered company.

Author, "An Analysis of SEC v. Rorech," Securities Law360, August 12, 2009
Panelist, "Current Trends in Regulatory Enforcement: Out with the Old and in with the Older?," Consero Corporate Litigation Executive Roundtable, September 10, 2015
Panelist, "SEC Regulatory Developments and How it Will Affect Securities Enforcement," IQPC 7th Securities Litigation and Enforcement Summit, October 3, 2011
Panelist, "Responding to Government Investigations: Strategies and Recent Developments," Association of Corporate Counsel, Greater New York Chapter, December 7, 2010
Panelist, "Addressing New Issues in FINRA, SEC and State Examinations and Enforcement Proceedings," National Society of Compliance Professionals, East Coast Regional Meeting, June 7, 2010
Guest Lecturer, "The Expectations of Internal Counsel," Fordham Law School, February 12, 2010