Dan Hawke counsels clients on federal securities law enforcement, examination and regulatory policy issues. A former top official in the SEC's Division of Enforcement, Mr. Hawke represents public companies, investment advisers, broker-dealers and other financial institutions in responding to regulatory and enforcement inquiries, conducting internal investigations and answering corporate governance, internal control, whistleblower and compliance questions. He regularly works with corporate leadership, in-house counsel and compliance officers on violations prevention, risk management and remediation issues.

Prior to joining the firm, Mr. Hawke served for sixteen years at the SEC, including more than ten years as a Senior Officer. As the first chief of the Enforcement Division's Market Abuse Unit (2010-2015), a national specialized enforcement unit that investigates trading, manipulation and market structure violations, Mr. Hawke supervised numerous significant SEC enforcement actions involving national securities exchanges, alternative trading systems, broker-dealers, investment banks, high frequency and algorithmic trading firms and other institutional trading firms. Under Mr. Hawke’s leadership, the Market Abuse Unit developed innovative trading surveillance technology and used quantitative methods to detect abusive trading schemes and conduct groundbreaking “trader-based” investigations. He created the unit’s Analysis and Detection Center to identify potential violations of the federal securities laws including those involving insider trading, hacking and cybersecurity schemes.

As Director of the SEC’s Philadelphia Regional Office (2006-2014), Mr. Hawke oversaw the Commission’s enforcement program and broker-dealer, investment adviser and investment company examination programs in the Mid-Atlantic region. In that position, he supervised hundreds of investigations and enforcement actions involving conflict of interest, fiduciary duty, insider trading, FCPA, public company accounting, and financial reporting, information control and supervision violations.

Mr. Hawke is the recipient of the SEC's Stanley Sporkin Award (2008), Ellen B. Ross Award (2001), and Chairman's Awards for Excellence as a member of the Cutillo/Galleon/Stephanou (2009) and "Flash Crash" (2010 investigation teams).

Perspectives

5 Common Misconceptions About SEC Investigations (pdf)
Asset Management Law360, Banking Law360, Capital Markets Law360, Securities Law360
Supreme Court to Decide Whether the SEC Can Pursue Fraudulent Scheme Claims Where the Janus Test Is Not Met
Advisory
Supreme Court Holds That SEC Administrative Law Judges Are Officers of the United States Under the Appointments Clause of the Constitution
Advisory
Deskbook on Internal Investigations, Corporate Compliance and White Collar Issues (2nd Edition)
PLI Practising Law Institute
Supreme Court to Decide Whether the SEC's Administrative Law Judges Are Officers of the United States Under the Appointments Clause of the Constitution
Advisory
More

Recognition

Benchmark Litigation
Local Litigation Star – Securities (2017)
Litigation Star – White Collar Crime (2017)
Securities Docket
"Enforcement 40" (list of the "best and brightest securities enforcement defense lawyers") (2017)

Credentials

Education
  • JD, Boston University School of Law, 1989
  • BA, Tulane University, 1985
Admissions
  • District of Columbia
  • Maryland
Government and Military Service
  • Chief of the Enforcement Division’s Market Abuse Unit, US Securities and Exchange Commission
  • Philadelphia Regional Office, US Securities and Exchange Commission
Overview

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