Dan Brown defends clients in securities enforcement matters, white-collar criminal cases, securities litigation, and commercial litigation. His clients include individuals and companies involved in investigations and litigation with the SEC, United States Attorney’s Offices, the Financial Industry Regulatory Authority (FINRA) and various state regulators.
Dan is also recognized for his experience in e-discovery and electronic records management issues. He has served on the faculty of the Georgetown University Law Center Continuing Legal Education Advanced E-Discovery Institute, conducted other CLE-related training, and advised clients on these matters.
While Dan was an attorney in the SEC’s Division of Enforcement in its Chicago office, he held the positions of Branch Chief, Senior Attorney and Staff Attorney. While there, he supervised and participated in a variety of matters including the prosecution of a federal court action to a successful conclusion where the Commission sought emergency relief, as well as accounting fraud, violations of Commission Rule 102(e), insider trading, broker/dealer supervision, investment adviser, investment company, market manipulation, fraudulent offering, misappropriation, transfer agent, and tender offer cases.
After law school graduation, Dan began his career as a law clerk to the Honorable James L. Latchum of the U.S. District Court for the District of Delaware.