Phone: (410) 685-8800
Broker-Dealer Customer Complaints – Journal of Investment Compliance – Winter 2004
Insider Trading: The Courts Know It When They See It – Financial History Magazine – Spring 2004
Securities Industry and Financial Markets Association – Legal and Compliance Division
Dan Donovan is a member of Donovan & Rainie, LLC, a Baltimore, Maryland law firm. He helped form the firm in 2002 after more than two decades in senior legal counsel and compliance roles at several major investment banking and retail securities brokerage firms, as well as a New York City litigation firm.
Mr. Donovan focuses his practice on arbitration and litigation matters, and on representing broker-dealers and registered representatives in self-regulatory organization, Securities and Exchange Commission and state securities commission inquiries, investigations and disciplinary proceedings. He also counsels broker-dealers and investment advisers on a wide variety of legal, regulatory and compliance issues, including the development of written compliance and supervisory procedures. He has acted as an independent consultant in connection with broker-dealer regulatory settlements.
Mr. Donovan also represents insurance companies in litigation and regulatory matters.
Mr. Donovan has been a presenter at regional and national membership meetings of the National Association of Compliance Professionals and a speaker at the annual conference held by the Securities Industry Association’s Legal and Compliance Division where he has spoken on a variety of topics.
State University of New York
College at Brockport – B.A.
Boston University School of Law – J.D.
United States Supreme Court
United States Court of Appeals for the Fourth Circuit
United States District Court for the District of Columbia
United States District Court for the District of Maryland
United States District Court for the District of Massachusetts
United States District Court for the Eastern District of New York
United States District Court for the Southern District of New York
Selected Reported Cases:
Mark C. Branigan v. Alex. Brown & Sons, Inc., 978 F. Supp. 547 (S.D.N.Y.1997).
Jonas v. Deutsche Bank Securities, LLC, 24 Mass. Law Rptr. 475, 2008 WL
4368235 (Mass.Super.Ct. Sept. 23, 2008).