R. Daniel O’Connor, a former SEC trial attorney, co-leads the Securities & Futures Enforcement practice at Ropes & Gray. Dan works with public companies and investment advisers, as well as senior individuals at these firms, involved in civil and criminal government enforcement matters before the SEC, DOJ, and other state and foreign regulators.
Dan’s practice focuses on three areas: public company accounting and disclosure matters, as well as insider trading issues at public companies; investment advisers dealing with issues related to the exercise of their fiduciary duties, conflicts of interest, trading and other technical regulatory matters; and matters relating to the U.S. Foreign Corrupt Practices Act, the U.K. Bribery Act, and other related anti-corruption laws. Dan has particular expertise in assisting management and directors in running internal investigations, addressing sensitive governance issues, and establishing and evaluating regulatory compliance programs.
Prior to re-joining Ropes & Gray in 2008, Dan was Senior Trial Counsel at the SEC where he handled prosecutions and investigations of corporate entities and individuals for civil and criminal violations of federal securities laws, including: various accounting and reporting fraud schemes, fraud by hedge funds and other investment advisers, FCPA issues, market manipulation, and broker-dealer fraud and failure to supervise. Dan’s work at the SEC was recognized through a Director’s Award and several Special Act Awards. Before law school, Dan served as a watch officer and assistant engineer aboard the nuclear powered, ballistic missile submarine, the USS George Bancroft, SSBN 643.