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 the financial services industry. His primary focus is on arbitration, litigation and mediation, 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. He has also served as an expert witness and as a mediator of securities industry disputes.

Mr. Donovan also represents banks and 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.

Publications:
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

Speaking Engagements & Publications