Corporate Defense and Disputes

Important developments in U.S. securities law, white collar criminal defense, regulatory enforcement and other emerging issues impacting financial services institutions, publicly traded companies and private investment funds

Daniel Nelson

Daniel Nelson

Associate

Dan Nelson is an associate in the Corporate Department and a member of the Private Investment Funds Group.

Dan works on matters relating to domestic and offshore hedge funds, funds of funds and other private investment funds.  Dan advises funds and their managers on matters including formation and structuring, trading and operations, and management company governance.

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FINRA Introduces Revised Sanction Guidelines

FINRA recently released updated and revised Sanction Guidelines and an accompanying Regulatory Notice that, among other things, call for stricter penalties against broker-dealers who commit fraud or violate suitability rules. The revisions are effective as of May 12, 2015. The Sanction Guidelines, first published in 1993, are intended to assist FINRA’s adjudicators in determining the … Continue Reading
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