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R. Daniel O'Connor
Partner
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R. Daniel O’Connor focuses his practice on securities enforcement matters, internal investigations, related trial work and compliance consulting. A former SEC enforcement attorney and experienced trial lawyer, Dan works with corporations and individuals involved in civil and criminal government enforcement matters and represents entities in complex commercial disputes. He also assists corporate management and directors in conducting internal investigations, addressing sensitive corporate governance issues, and establishing and evaluating regulatory compliance programs. Dan, working with partners in the firm’s corporate and investment practice groups, has particular expertise in evaluating and establishing anticorruption programs, resolving matters involving financial reporting and disclosure at public companies, and fiduciary and regulatory compliance issues at investment management groups. 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.
- Carter’s Inc: Lead counsel representing a large public company clothing retailer in DOJ and SEC investigations related to the company’s reporting of margin support payments to wholesale customers in allegedly incorrect financial periods. Negotiated first ever Non-Prosecution Agreement with SEC wherein no enforcement action was taken against company in light of its cooperation with regulators.
- State Street Global Advisors: Lead counsel representing unregistered and registered investment advisers in SEC and state regulator investigations related to the use and disclosure of complex subprime asset backed securities in fixed income funds.
- Deputy Controller of Fortune 500 Public Company: Lead counsel of a team that successfully convinced SEC staff to withdraw Wells Notice and recommendation of an enforcement action related to revenue recognition issues associated with capital equipment sales.
- FCPA & OFAC Compliance: Evaluated and designed FCPA & OFAC compliance programs and related professional training programs for public companies, investment advisers, private equity firms, and private companies to address overseas investments, operations, and marketing activities.
- FCPA Enforcement: Represent public companies in ongoing SEC sweep inquiry related to relationships between issuers and sovereign wealth fund investors and associated third party intermediaries, as well as FCPA policies, procedures and associated compliance matters.
- Expert Networks: Represent expert network and associated investment adviser in ongoing SEC inquiry into operations of industry specific expert network.
- Insider Trading: Succeeded in helping private equity investment manager avoid enforcement action in connection with SEC investigation into trading around a public company merger.
- Hedge Fund Marketing & Trading: Represent hedge funds in SEC investigations into issues associated with performance and risk disclosures in marketing materials and trading practices involving alleged market manipulation, Rule 105 short sale issues, and insider trading.
- Life Sciences Company: Lead internal investigation into alleged disclosure issues associated with manufacturing deficiencies and FDA interactions and obtained successful termination of related SEC investigation with no enforcement action.
©1996-2012 Ropes & Gray LLP. All rights reserved.
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PRACTICES
Litigation
Corporate
Education
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JD, summa cum laude, Boston College Law School, 1996; Executive Editor, Boston College Law Review
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BS (Mechanical Engineering), with Merit, United States Naval Academy, 1988
Bar Admissions
- Massachusetts
- New York
- U.S. Patent and Trademark Office
Courts
- U.S. District Court for the District of Massachusetts
- U.S. District Court for the Southern District of New York
- U.S. District Court for the Eastern District of New York
- U.S. Court of Appeals for the First Circuit
- U.S. Court of Appeals for the Fourth Circuit
Memberships & Affiliations
- Former Co-Chair, ABA Criminal Justice Section, White Collar Crime Committee’s Securities Fraud Subcommittee, 2008-2010
- Member, ABA Criminal Justice Section, White Collar Crime Committee
- Member, Boston Bar Association, Securities Enforcement and Litigation Committee
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