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Daniel Newman

Daniel Newman

Partner

2 South Biscayne Blvd.
21st Floor
Miami, FL 33131
T 305.373.9467
F 305.373.9443
330 Madison Avenue
27th Floor
New York, NY 10017
T 646.428.2600
F 646.428.2610
dan.newman@nelsonmullins.com
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Dan litigates complex commercial and securities matters in federal and state courts and before various arbitration forums and regularly represents individuals and entities in Securities and Exchange Commission, Department of Justice, Commodities Futures Trading Commission, FINRA and state securities regulator investigations and litigation arising from such investigations. Other representative business and securities-related litigation includes commercial...

Dan litigates complex commercial and securities matters in federal and state courts and before various arbitration forums and regularly represents individuals and entities in Securities and Exchange Commission, Department of Justice, Commodities Futures Trading Commission, FINRA and state securities regulator investigations and litigation arising from such investigations. Other representative business and securities-related litigation includes commercial torts, contracts, non-compete agreements, shareholder derivative actions, class actions, and common law and statutory securities fraud actions. Dan began his career with the United States Securities and Exchange Commission’s Division of Enforcement where he was responsible for investigating and prosecuting violations of the federal securities laws. He has been recognized by Chambers USA in Band 1 America's Leading Lawyers for Business, Litigation: Securities – Florida (2022–2024). Dan is a frequent speaker on securities litigation and regulatory issues. Dan currently serves as an Adjunct Professor at the University of Miami School of Law teaching a course on SEC investigations and has served as an Adjunct Professor teaching litigation skills at Nova Southeastern University Shepard Broad College of Law.

Daniel Newman

torts, contracts, non-compete agreements, shareholder derivative actions, class actions, and common law and statutory securities fraud actions. Dan began his career with the United States Securities and Exchange Commission’s Division of Enforcement where he was responsible for investigating and prosecuting violations of the federal securities laws. He has been recognized by Chambers USA in Band 1 America's Leading Lawyers for Business, Litigation: Securities – Florida (2022–2024). Dan is a frequent speaker on securities litigation and regulatory issues. Dan currently serves as an Adjunct Professor at the University of Miami School of Law teaching a course on SEC investigations and has served as an Adjunct Professor teaching litigation skills at Nova Southeastern University Shepard Broad College of Law.

Experience

The following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Experience

  • Represents individuals and entities in connection with investigations and litigation initiated by the SEC, FTC, the CFTC, FINRA, and state securities regulators.
  • Represents entities, officers, and directors in connection with corporate internal investigations.
  • Serves as receiver for business entities including those prosecuted by the SEC for engaging in securities fraud in which his efforts are concentrated on recovery for defrauded investors. Also has served and continues to serve as counsel to receivers.
  • Represents owners, developers, and contractors in connection with a broad variety of construction litigation matters, including defects and delay and project scheduling and administration.
  • Frequent speaker at conferences and seminars on issues relating to litigation and securities. Mr. Newman has spoken on topics including but not limited to: assertion of the Fifth Amendment, discovery techniques in civil litigation, expert witness discovery in state and federal courts, broker–dealer litigation, and securities regulation and compliance. 

Representative Matters

  • Represented plaintiff business investors in action alleging claims against day trading firm and its successors in interest for fraud, conversion, and breach of contract
  • Defended investment banking firm against $16 million claim in action alleging breach of contract and professional negligence for alleged failure to advise optimal plan of finance and timely close bond offering
  • Defended individual in federal court action instituted by SEC alleging violations of antifraud provisions of the federal securities laws
  • Represented a CFO in one of the first Sarbanes–Oxley officer certification cases prosecuted by the SEC
  • Defended Florida city in an SEC proceeding that alleged securities fraud in connection with municipal bond offerings
  • Defended one of the country’s largest broker–dealers against former broker’s claim for defamation seeking $1 million in damages
  • Defended public company and its wholly owned subsidiary against multimillion–dollar claims for wrongful termination and tortuous interference
  • Defended brokerage firm against customer claims in connection with the sale of structured and other proprietary products
  • Defended certified public accounting firm against class action claims alleging securities fraud
  • Defended broker dealers in connection with regulatory investigations and actions concerning mark–ups
  • Appointed as receiver over the management company and related hedge funds in connection with a securities fraud with claimed losses alleged to be in excess of $500 million. In connection with this action, Mr. Newman oversaw a several hundred million dollar transaction, resulting in the formation of a new healthcare holding entity and subsequent court–approved distribution of interests in that entity. Served as the Chairman of the Board for the newly formed entity
  • Appointed as receiver over Boca Raton, Fla. company that engaged in illegal sale of securities in oil and gas limited partnerships
  • Appointed as receiver for law firm in connection with partnership dissolution
  • Represented school board in connection with defense of multi–phase design–build construction project, and indemnification claims against architect
  • Part of a team involved in complex litigation arising from a multibillion–dollar airport terminal that resulted in more than $100 million in claims arising from design defects, construction failures, and project administration and schedule issues

Previous Professional Experience

  • Attorney with the U.S. Securities and Exchange Commission’s (SEC) New York Regional Office, Division of Enforcement
    • Responsibility for the investigation and civil prosecution of violations of the federal securities laws
  • Served for four years as an adjunct faculty member at the Nova Southeastern Shepard Broad Law Center, teaching a course focused on pre–trial and trial litigation skills
The following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Experience

  • Represents individuals and entities in connection with investigations and litigation initiated by the SEC, FTC, the CFTC, FINRA, and state securities regulators.
  • Represents entities, officers, and directors in connection with corporate internal investigations.
  • Serves as receiver for business entities including those prosecuted by the SEC for engaging in securities fraud in which his efforts are concentrated on recovery for defrauded investors. Also has served and continues to serve as counsel to receivers.
  • Represents owners, developers, and contractors in connection with a broad variety of construction litigation matters, including defects and delay and project scheduling and administration.
  • Frequent speaker at conferences and seminars on issues relating to litigation and securities. Mr. Newman has spoken on topics including but not limited to: assertion of the Fifth Amendment, discovery techniques in civil litigation, expert witness discovery in state and federal courts, broker–dealer litigation, and securities regulation and compliance. 

Representative Matters

  • Represented plaintiff business investors in action alleging claims against day trading firm and its successors in interest for fraud, conversion, and breach of contract
  • Defended investment banking firm against $16 million claim in action alleging breach of contract and professional negligence for alleged failure to advise optimal plan of finance and timely close bond offering
  • Defended individual in federal court action instituted by SEC alleging violations of antifraud provisions of the federal securities laws
  • Represented a CFO in one of the first Sarbanes–Oxley officer certification cases prosecuted by the SEC
  • Defended Florida city in an SEC proceeding that alleged securities fraud in connection with municipal bond offerings
  • Defended one of the country’s largest broker–dealers against former broker’s claim for defamation seeking $1 million in damages
  • Defended public company and its wholly owned subsidiary against multimillion–dollar claims for wrongful termination and tortuous interference
  • Defended brokerage firm against customer claims in connection with the sale of structured and other proprietary products
  • Defended certified public accounting firm against class action claims alleging securities fraud
  • Defended broker dealers in connection with regulatory investigations and actions concerning mark–ups
  • Appointed as receiver over the management company and related hedge funds in connection with a securities fraud with claimed losses alleged to be in excess of $500 million. In connection with this action, Mr. Newman oversaw a several hundred million dollar transaction, resulting in the formation of a new healthcare holding entity and subsequent court–approved distribution of interests in that entity. Served as the Chairman of the Board for the newly formed entity
  • Appointed as receiver over Boca Raton, Fla. company that engaged in illegal sale of securities in oil and gas limited partnerships
  • Appointed as receiver for law firm in connection with partnership dissolution
  • Represented school board in connection with defense of multi–phase design–build construction project, and indemnification claims against architect
  • Part of a team involved in complex litigation arising from a multibillion–dollar airport terminal that resulted in more than $100 million in claims arising from design defects, construction failures, and project administration and schedule issues

Previous Professional Experience

  • Attorney with the U.S. Securities and Exchange Commission’s (SEC) New York Regional Office, Division of Enforcement
    • Responsibility for the investigation and civil prosecution of violations of the federal securities laws
  • Served for four years as an adjunct faculty member at the Nova Southeastern Shepard Broad Law Center, teaching a course focused on pre–trial and trial litigation skills

Media

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Recognitions

The bar rules of some states require that the standards for an attorney's inclusion in certain public accolades or recognitions be provided. When such accolades or recognitions are listed, a hyperlink is provided that leads to a description of the respective selection methodology.

Professional Activities

  • President - University of Miami Law Alumni Association
  • Vice Chair – Florida Bar, Federal Court Practice Committee
  • Florida Securities Dealers Association - President of Board of Governors (2021)
  • Florida Securities Dealers Association – Chair Legislative Committee (2017-2022)
  • Former Member, American Institute of CPAs
    • Damages Task Force
  • Former Chair, Dade County Bar Association, Securities Litigation Committee
  • Legal and Compliance Division, Securities and Financial Markets Association
  • Nova Southeastern University Shepard Broad College of Law, Adjunct Professor, Litigation Skills (2000–2004)

Community

  • Past President and Board of Directors, The David Posnack JCC
  • Over a decade of coaching youth sports, including soccer, roller and ice hockey

Dan litigates complex commercial and securities matters in federal and state courts and before various arbitration forums and regularly represents individuals and entities in Securities and Exchange Commission, Department of Justice, Commodities Futures Trading Commission, FINRA and state securities regulator investigations and litigation arising from such investigations. Other representative business and securities-related litigation includes commercial... torts, contracts, non-compete agreements, shareholder derivative actions, class actions, and common law and statutory securities fraud actions. Dan began his career with the United States Securities and Exchange Commission’s Division of Enforcement where he was responsible for investigating and prosecuting violations of the federal securities laws. He has been recognized by Chambers USA in Band 1 America's Leading Lawyers for Business, Litigation: Securities – Florida (2022–2024). Dan is a frequent speaker on securities litigation and regulatory issues. Dan currently serves as an Adjunct Professor at the University of Miami School of Law teaching a course on SEC investigations and has served as an Adjunct Professor teaching litigation skills at Nova Southeastern University Shepard Broad College of Law.

Experience

The following is a selected sampling of matters and is provided for informational purposes only. Past success does not indicate the likelihood of success in any future matter.

Experience

  • Represents individuals and entities in connection with investigations and litigation initiated by the SEC, FTC, the CFTC, FINRA, and state securities regulators.
  • Represents entities, officers, and directors in connection with corporate internal investigations.
  • Serves as receiver for business entities including those prosecuted by the SEC for engaging in securities fraud in which his efforts are concentrated on recovery for defrauded investors. Also has served and continues to serve as counsel to receivers.
  • Represents owners, developers, and contractors in connection with a broad variety of construction litigation matters, including defects and delay and project scheduling and administration.
  • Frequent speaker at conferences and seminars on issues relating to litigation and securities. Mr. Newman has spoken on topics including but not limited to: assertion of the Fifth Amendment, discovery techniques in civil litigation, expert witness discovery in state and federal courts, broker–dealer litigation, and securities regulation and compliance. 

Representative Matters

  • Represented plaintiff business investors in action alleging claims against day trading firm and its successors in interest for fraud, conversion, and breach of contract
  • Defended investment banking firm against $16 million claim in action alleging breach of contract and professional negligence for alleged failure to advise optimal plan of finance and timely close bond offering
  • Defended individual in federal court action instituted by SEC alleging violations of antifraud provisions of the federal securities laws
  • Represented a CFO in one of the first Sarbanes–Oxley officer certification cases prosecuted by the SEC
  • Defended Florida city in an SEC proceeding that alleged securities fraud in connection with municipal bond offerings
  • Defended one of the country’s largest broker–dealers against former broker’s claim for defamation seeking $1 million in damages
  • Defended public company and its wholly owned subsidiary against multimillion–dollar claims for wrongful termination and tortuous interference
  • Defended brokerage firm against customer claims in connection with the sale of structured and other proprietary products
  • Defended certified public accounting firm against class action claims alleging securities fraud
  • Defended broker dealers in connection with regulatory investigations and actions concerning mark–ups
  • Appointed as receiver over the management company and related hedge funds in connection with a securities fraud with claimed losses alleged to be in excess of $500 million. In connection with this action, Mr. Newman oversaw a several hundred million dollar transaction, resulting in the formation of a new healthcare holding entity and subsequent court–approved distribution of interests in that entity. Served as the Chairman of the Board for the newly formed entity
  • Appointed as receiver over Boca Raton, Fla. company that engaged in illegal sale of securities in oil and gas limited partnerships
  • Appointed as receiver for law firm in connection with partnership dissolution
  • Represented school board in connection with defense of multi–phase design–build construction project, and indemnification claims against architect
  • Part of a team involved in complex litigation arising from a multibillion–dollar airport terminal that resulted in more than $100 million in claims arising from design defects, construction failures, and project administration and schedule issues

Previous Professional Experience

  • Attorney with the U.S. Securities and Exchange Commission’s (SEC) New York Regional Office, Division of Enforcement
    • Responsibility for the investigation and civil prosecution of violations of the federal securities laws
  • Served for four years as an adjunct faculty member at the Nova Southeastern Shepard Broad Law Center, teaching a course focused on pre–trial and trial litigation skills

Education

  • University of Miami School of Law, JD, cum laude (1991)
  • George Washington University, BBA, Finance (1988)

Admissions

  • Florida
  • New York
  • U.S. Court of Appeals for the Eleventh Circuit
  • U.S. District Court for the Southern District of Florida
  • U.S. District Court for the Southern District of New York

Practice Areas

Industries

The bar rules of some states require that the standards for an attorney's inclusion in certain public accolades or recognitions be provided. When such accolades or recognitions are listed, a hyperlink is provided that leads to a description of the respective selection methodology.

  • President - University of Miami Law Alumni Association
  • Vice Chair – Florida Bar, Federal Court Practice Committee
  • Florida Securities Dealers Association - President of Board of Governors (2021)
  • Florida Securities Dealers Association – Chair Legislative Committee (2017-2022)
  • Former Member, American Institute of CPAs
    • Damages Task Force
  • Former Chair, Dade County Bar Association, Securities Litigation Committee
  • Legal and Compliance Division, Securities and Financial Markets Association
  • Nova Southeastern University Shepard Broad College of Law, Adjunct Professor, Litigation Skills (2000–2004)
  • Past President and Board of Directors, The David Posnack JCC
  • Over a decade of coaching youth sports, including soccer, roller and ice hockey