Dan represents individuals and organizations in criminal, civil, and regulatory matters. He also has significant experience leading complicated internal investigations. Dan has defended clients in a wide range of business crimes and investigations-related inquiries, including matters relating to Foreign Corrupt Practices Act (FCPA) violations, insider trading, anti-money laundering, criminal antitrust, sanctions, financial fraud, and market manipulation.
Clients rely on Dan to lead their most complex internal investigations, including multinational investigations involving intricate cross-border issues. He regularly interacts with the Department of Justice (DOJ), the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and other regulators, and has significant experience preparing and defending witnesses in depositions and interviews. Dan has represented clients through all stages of a criminal case, including trial, sentencing, and appeal.
Over the years, Dan has developed a sophisticated understanding of matters concerning futures and derivatives products and regulations. He frequently advises broker-dealers and buy-side institutions on their ongoing dealings with regulators, including how to prepare for and respond to annual regulatory examinations. Dan has successfully represented broker-dealers, futures commission merchants (FCMs), investment advisors, and other regulated entities in inquiries before the SEC, CFTC, Financial Industry Regulatory Authority (FINRA), National Futures Association (NFA), Chicago Mercantile Exchange (CME), CBOE Futures Exchange (CFE), Intercontinental Exchange (ICE) Futures, and other options and futures exchanges and Swap Execution Facilities (SEF).
Dan also has extensive experience in financial crimes compliance. He served on the executive team of a two-year monitorship of an international bank. As part of the leadership team, he managed the compliance review, served as the primary author of the report, and oversaw the risk assessment and sanctions matters. He also regularly interfaced with the state agency overseeing the monitorship.
Dan handles numerous civil cases in a variety of areas, including commercial contract disputes, mortgage-backed securities litigation, real estate, insurance, and employment law. He has experience both prosecuting and defending cases in federal and state courts, the Delaware Court of Chancery, and before arbitrators.
Dan is deeply committed to serving the community. His pro bono work ranges from family and immigration matters – such as preventing the deportation of five children – to good government cases. Working on behalf of the New York City Comptroller, Dan successfully sued the Department of Homeless Services over its illegal contracting practices. He also prevailed against the city on behalf of local community interests opposed to the reopening and expansion of a jail in a residential neighborhood. His most recent pro bono representation involved advocacy for a group of deaf and hearing-impaired individuals who were denied sign language interpreters by New York City agencies, which violated the Americans with Disabilities Act.
Dan is the author of several articles and chapters in practitioner guides concerning securities litigation and enforcement and internal investigations.
Before joining WMH, Dan practiced in the award-winning litigation groups of two global law firms.Show More +
White Collar/Regulatory Defense and Investigations
Supervised a global criminal antitrust investigation of an auto part manufacturer that spanned four continents.
Served as regulatory enforcement counsel for an international financial institution. Handled matters before the CFTC, FINRA, NFA, and a number of options and futures exchanges. Handled a variety of matters related to futures and derivatives trading, including wash trades, spoofing, position limits, EFRPs, block trades, cross-trading, and front-running.
Represented an investment advisor in an SEC exam and follow-on formal investigation related to foreign exchange trades.
Conducted an internal investigation for a multinational pharmaceutical company related to antitrust allegations.
Conducted an internal investigation of a global retailer related to workplace safety concerns.
Conducted an internal investigation for a futures brokerage related to allegations of unauthorized trading.
Defended an individual against criminal charges related to alleged OFAC violations.
Defended a global energy company in a commercial dispute regarding contract modification and the operation of a force majeure.
Represented a global energy company in the Delaware Court of Chancery in bet-the-company litigation over the interpretation of an exit sale provision in the LLC agreement. After a trial and two appeals, the Delaware Supreme Court ruled in client’s favor.
Represented an individual in a New York Supreme Court and New York housing court concerning the conditions of a 50-unit residential building in Manhattan. Obtained a complete dismissal in housing court and achieved an outright dismissal of $12 million claim for damages in New York Supreme Court. Negotiated a very favorable settlement for client.
Represented the New York City Comptroller in an action related to illegal actions taken by the New York City Department of Homeless Services. Achieved a resounding victory in an Article 78 Petition as the court granted all declaratory and injunctive relief.
Represented seven immigrant children in family court and helped them obtain legal status in the United States.
Represented deaf and hearing-impaired individuals in a lawsuit against several New York City agencies over the failure to provide sign language interpreters at essential agency offices.
- Americas Rising Star Award (shortlist), Euromoney Legal Media Group (2019)
- Best in Litigation: General Commercial, Euromoney Legal Media Group (2018-2019)
- American Bar Association
- Futures Industry Association