Morrison & Foerster is pleased to announce that Daniel A. Nathan, the former Vice President and Regional Enforcement Director for the Financial Industry Regulatory Authority (FINRA), has joined the Firm’s Washington, D.C. office as a partner, adding further scope to Morrison & Foerster’s enforcement capabilities in Washington, D.C., nationally and internationally.
During Mr. Nathan’s five-year tenure at FINRA, the lead self-regulatory organization for the securities industry, Mr. Nathan oversaw a 70-lawyer team across 15 offices responsible for annually bringing up to 900 disciplinary actions, including many of FINRA’s most significant nationwide enforcement actions, and worked closely with FINRA’s examination staff. Previously, Mr. Nathan served at the Securities and Exchange Commission (SEC) as Assistant Director in the Division of Enforcement, and at the Commodity Futures Trading Commission (CFTC) as Deputy Director of Enforcement. In 12 years at the SEC, he supervised federal securities investigations of insider trading, market manipulation, financial fraud, and accounting misconduct. In nine years with the CFTC, he had 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 CFTC, the Department of Justice, the SEC and state authorities.
According to Jordan Eth, Co-Chair of Morrison & Foerster’s 140-lawyer Securities Litigation, Enforcement and White-Collar Defense Group, Mr. Nathan is a “triple threat” enforcement expert with a wealth of experience that will benefit a wide array of Firm clients.
“Beyond his most recent work with FINRA, Dan served as a high-level enforcement official at the SEC and CFTC,” said Mr. Eth. “With more than 25 years inside three of the country’s leading regulatory and enforcement authorities, Dan is uniquely equipped to help clients facing a wide range of regulatory and enforcement activity. Along with his intimate knowledge of broker-dealer regulation, Dan has broad experience in insider trading, financial fraud and accounting issues. He will immediately fit right in to our global team of securities litigators, former prosecutors, and former agency enforcement officials.”
“Dan’s addition is a perfect complement to our securities litigation, enforcement, investigation and white collar criminal defense work for companies, directors, individuals and financial market participants of all types in the U.S. and internationally,” Bradley S. Lui, Managing Partner of the Firm’s Washington, D.C. office, said.
“I have been very impressed with Morrison & Foerster’s securities defense work and its commitment to expanding the enforcement practice from Washington,” Mr. Nathan said. “I look forward to contributing to the Firm and our clients in every way I can.”
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.
In addition to Mr. Nathan, Morrison & Foerster’s Washington, D.C. office recently welcomed corporate partner David Slotkin and life sciences partner Van Ellis.
