Daniel Spungen Bio

Daniel’s greatest strength is understanding both the business and legal needs of his clients. Daniel studied finance and economics prior to starting his legal career and continued to focus on the business world throughout law school, which gives him the advantage of business acumen to accompany his legal skills. He strives to provide effective guidance and serve as a trusted partner to his clients. As a member of the firm’s Banking & Finance and Corporate Service Groups, Daniel provides legal guidance with a business perspective in mind. He primarily represents public and private corporations, start-ups and small businesses, banks, and financial institutions. Daniel is experienced in working on regulatory issues, corporate governance, mergers and acquisitions, state blue sky laws, the Securities Acts of ’33 and ’34, and general counsel services. He has represented both buyers and sellers in asset and stock purchase deals, ensuring that his clients goals are met in the transaction. As a Certified Securities Compliance Professional (CSCP), Daniel is equipped to advise state- and SEC-registered investment advisers and broker-dealers on regulatory and compliance issues under the Investment Advisers Act of 1940 and FINRA rules. Daniel gets great satisfaction from helping his clients achieve their goals, whether it involves bringing on new investors through a private placement or other securities offering, growing their business through a merger or acquisition, or selling their business to move onto other ventures. His goal is to make sure his clients’ needs are met and prevent potential problems down the road. Prior to joining the firm, Daniel worked as the Chief Deputy Securities Commissioner for the Indiana Secretary of State and oversaw the regulation of the securities industry in Indiana.