Dan is a highly experienced partner who 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 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 its legacy entities. During his ten years at the Bank, Dan managed high profile, complex regulatory investigations conducted by the SEC, DOJ, State Attorneys General (including the New York Attorney General and Massachusetts Securities Division), FINRA, the CFTC, the Special Inspector General of the Troubled Asset Relief Program (SIGTARP), and regulators from the UK, Mexico and Hong Kong, among others. These matters involved fixed income securitization, underwriting, sales and trading, research, insider trading, FCPA, AML and retail brokerage issues. Dan also actively conducted internal investigations of Bank employees for possible sales practice abuses and other forms of alleged misconduct.
Prior to his time at the Bank, Dan served as Senior Counsel at the SEC’s Division of Enforcement. While there, he managed multiple significant investigations involving mutual fund market timing, insider trading by a hedge fund ahead of a private investment in public equity (PIPE) transaction, market manipulation of corporate bonds by an international investment bank, and financial fraud by insurance companies through circular finite reinsurance transactions.
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.
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