Daniel R. Walfish

Biography

Dan represents companies and individuals in litigation matters as well as investigations involving the Securities and Exchange Commission and other financial regulators. He also counsels clients on compliance with the securities laws.

Dan has a deep understanding of the federal securities laws along with the SEC’s process for enforcing them, and regularly writes and speaks on securities law and related issues. Dan’s experience inside and outside of government includes SEC, Commodity Futures Trading Commission, and FINRA matters involving a wide range of issues, including allegations of regulatory violations by registered investment advisers and broker-dealers, “spoofing” and other forms of manipulative trading, violations of disclosure, reporting, and record-keeping requirements, and insider trading.

Dan also has broad-based experience with complex business litigation, having handled a wide range of cases for clients appearing as plaintiffs and defendants in federal and state courts at the trial and appellate level in a variety of industries, including insurance, finance, transportation, hospitality, and entertainment. Dan’s experience additionally includes counseling companies and individuals on employment matters.

From 2010 through 2014, Dan was with the Securities and Exchange Commission’s Enforcement Division in New York, where, as Senior Counsel, he litigated and investigated a number of notable cases. Dan was a recipient of the agency’s Ferdinand Pecora Award for exceptional contributions to the Enforcement Division.

From 2015 to 2018 Dan practiced with the global law firm Milbank LLP. Upon leaving Milbank, Dan co-founded, with Rachel Penski Fissell, a boutique litigation and regulatory practice, which they subsequently brought to Katsky Korins LLP.