Bio

F. Daniel Bell focuses his practice in the area of securities law compliance and regulatory defense representing broker-dealers, investment advisors, banks, financial planners and issuers in all aspects of federal and state securities compliance and defense matters, including investigations and administrative proceedings before the SEC, FINRA, and all 50 state securities commissions. He represents national and local securities firms in multi-jurisdictional investigations and enforcement proceedings, and has successfully concluded six 50 state settlements on behalf of broker-dealer clients. He also represents issuers in private "Regulation D" and Non-Profit offerings. Dan has testified before both the U.S. Senate and U.S. House of Representatives on issues such as regulation of tender offers, oversight of financial planners, and the budget of the Securities and Exchange Commission. He has also chaired or served on numerous multi-state committees and task forces on topics such as shareholder voting rights, the national market system, financial planners and investment advisors, commodities trading, uniformity of state securities laws, and coordination of federal and multi-state enforcement programs and surveillance. Prior to joining the firm, Dan was a partner in the Raleigh office of an international law firm where his practice focused on government enforcement, broker-dealer representation, global government solutions, investment management including Hedge Funds and alternative investments, and securities enforcement. Before entering private practice, he served as the North Carolina Deputy to the Secretary of State in charge of securities regulation and enforcement from 1981 to 1988. Dan was responsible for oversight of the securities industry in North Carolina including regulation of securities professionals, registration of securities offerings, and the investigative and enforcement authority of the state's securities laws. He served on the Board of Directors and as President of the North American Securities Administrators Association (NASAA). In 1993, Dan was recognized by the National Association of Personal Financial Advisors, Inc. with the “Distinguished Service Award" and in 1987, he was awarded the “Blue Sky Cube" by the North American Securities Administrators Association, Inc. Since 1996, he is peer rated by Martindale Hubbell as AV® Preeminent™, the highest rating in ethical standards and legal ability.*