Daniel Nathan Partner, White Collar, Investigations, Securities Litigation & Compliance, Financial Services Litigation
Speaking Engagement | March.30.2019 | 11:00am - 6:30pm (Eastern Standard Time)The Bushwick Generator
On Saturday, March 30, Daniel Nathan and Jorge Pesok will participate in the Blockchain and Compliance Today Q&A panel, beginning at 12:10 p.m. at the CL+B Fest, NYC Node in Brooklyn. The panel will be moderated by Steven Nam, Managing Editor of the Stanford Journal of Blockchain Law and Policy, of which Orrick is a proud sponsor. Dan and Jorge, along with their fellow panelists, will discuss the current, constantly changing state of regulatory and compliance rules affecting blockchain technology as well as crypto and digital assets. View the full NYC Node agenda and register for the event here.
Orrick’s Blockchain and Cryptocurrency group is excited to sponsor the NYC Node of the 2019 CL+B Fest, which is part of a month-long global event series bringing together coders, designers, lawyers, policymakers, researchers and others to discuss and create the future of law and policy as it relates to the continued expansion and adaptation of blockchain technology. The Festival is hosted at independent, self-organized nodes in over 30 cities around the world – view the full list of locations here.
CLE Credits Available: N
Daniel Nathan uses his deep enforcement and regulatory experience to represent U.S. and international financial institutions and individuals before financial regulators.
With a combined 25 years as a senior enforcement official with the SEC, CFTC and FINRA, three of the country’s leading regulatory and enforcement authorities, Dan is a particularly effective advocate for those facing investigations and/or enforcement action by those regulators. He is also active in advising and representing companies who issue or transact in cryptocurrency and is co-chair of Orrick's Blockchain and Cryptocurrency group.
Daniel’s intimate knowledge of broker-dealer regulation provides clients facing SEC or FINRA examinations and enforcement investigations with experienced counsel related to broker-dealer supervisory procedures, sales practices, anti-money laundering, ETF regulation, product disclosure and supervision, and securities and broker registration. His extensive experience includes the JOBS Act and Dodd-Frank Act, and he has led extensive efforts to help foreign banks establish programs for complying with the Volcker Rule. He also represents individuals and entities facing investigations by the CFTC or derivatives exchanges.
Previously, Daniel served as the Vice President and Regional Enforcement Director of the Financial Industry Regulatory Authority (FINRA), where he oversaw 70 lawyers across 15 offices responsible for bringing up to 900 disciplinary actions annually against broker-dealer firms, registered representatives and associated persons. This included many of FINRA’s most significant nationwide enforcement actions, including actions and sweeps involving mutual fund breakpoints, structured products sales practices and supervision, and private placement due diligence and disclosure.
In his 12 years at the SEC, Daniel served as Assistant Director in the Division of Enforcement, where he supervised federal securities investigations of insider trading (including the investigation that resulted in the seminal case US v. O’Hagan), market manipulation, financial fraud and accounting misconduct. In nine years with the CFTC, he served as Deputy Director of Enforcement, with responsibility for oversight of the agency’s Enforcement Division. In that role, he supervised significant actions regarding market manipulation, trade practices, commodity trading advisor practices and foreign exchange dealer practices.
An oft-quoted authority on complex financial, legal and business issues, Daniel is frequently sought after to speak and write on the important issues confronting financial institutions, including broker-dealer sales practices and compliance, complex products, ETFs, the Volcker Rule, derivatives, cryptocurrency, cybersecurity, and anti-money laundering. He is Co-chair of the ABA SEC Enforcement Subcommittee and a member of the Editorial Advisory Board of the Journal of Investment Compliance.
Jorge Pesok is a managing associate in the White Collar, Investigations, Securities Litigation & Compliance Group in the New York office. His practice focuses on SEC and CFTC investigations and enforcement actions, internal investigations and securities class actions with an emphasis on distributed ledger technology related matters.
Jorge represents financial institutions, technology companies, digital asset trading platforms and individuals in a variety of regulatory, compliance and litigation matters. His work includes representing clients in enforcement and litigation matters before the Securities and Exchange Commission, Department of Justice, Commodity Futures Trading Commission and Chicago Mercantile Exchange. He also counsels blockchain and cryptocurrency clients on the application of federal and state securities, commodities and money transmission laws.
A decorated veteran, Jorge served on active duty in support of Operation Iraqi Freedom, where he was awarded the Army Commendation Medal. Jorge retired from the United States Army National Guard in 2014 after serving eight years in the Judge Advocate General Corps and obtaining the rank of sergeant.
While in law school, Jorge was a member of the Maynard Pirsig Moot Court. Jorge also served as a judicial extern for the Honorable Richard H. Kyle of the United States District Court in St. Paul, Minnesota.