- Financial Services
- Banking & Finance
- Securities Litigation
- Investment Management
- Securities & Corporate Governance
|Contact Info||Telephone: 314.345.6246|
|University ||University of Missouri-Kansas City, B.A., with distinction, 1996; University of Missouri-Kansas City, M.A., 2000|
|Law School||University of Missouri-Kansas City School of Law, J.D., 2000 National Moot Court Team, Urban Lawyer|
Dan focuses on cost-effective and innovative solutions to the legal challenges of clients in the financial services industry. His primary goal is to provide value on a timely basis.
He deals with matters that involve registered open- and closed-end funds, along with unregistered investment vehicles and their sponsors and advisors. He assists investment advisors and broker-dealers with structuring, registering and ongoing regulatory matters, including enforcement. Dan counsels public company clients concerning reporting and compliance obligations under the Securities Exchange Act, the Investment Company Act and as required by securities exchanges. He also dedicates a significant part of his practice to advising mergers and acquisitions and capital-raising participants on a variety of securities issues. In addition, Dan regularly assists start-ups and publicly held companies in raising capital through public and private offerings.
Among Dan's industry engagements are these:
• Working with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to structure and register a special purpose broker-dealer.
• Assisting an issuer in its initial public offering (IPO) to avoid the status of an inadvertent investment company.
• Representing an open-end fund in its sale to another registered fund complex.
Representing businesses in a wide variety of corporate transactions, Dan is experienced in mergers and acquisitions, business formation and structuring, and general corporate matters.
Professional Associations and Memberships
• American Bar Association, Business Law Section, State Regulation of Securities Committee
• The Bar Association of Metropolitan St. Louis
• The Missouri Bar, Business Law Committee
• Coro Kansas City Alumni Group
• Downtown St. Louis Rotary Club
• Represented an asset management and financial planning firm as it sought to complete the sale of a wholly owned subsidiary.
• Worked with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) to structure and register a special purpose broker-dealer.
• Structured and prepared offering documents for numerous private funds and funds of funds with varying strategies.
• Represented a publicly held financial services provider in the divestiture of multiple registered subsidiaries.
• Represented a large investment advisor to open-end funds in its sale and restructuring.
• Represented several closed-end funds in follow-on offerings.
• Counseled an open-end fund in its sale to another registered fund complex.
• Represented an investment advisor to a fund complex in its multistage restructuring.
• Assisted numerous advisory and brokerage firms with structuring and registration.
• Assisted an issuer in its initial public offering (IPO) to avoid the status of an inadvertent investment company.
• Represented numerous advisors and funds with state and SEC examinations and inquiries.
Securities and Corporate Governance
• Represented several energy companies with ongoing Exchange Act reporting and capital-raising.
• Represented a family business in its acquisition of a construction service provider.
• Assisted a large textile manufacturer with multiple properties, including offshore, with a significant acquisition and subsequent sale of the entire business.
• Assisted an energy company in multiple rounds of capital-raising.
• Assisted an entertainment company in multiple rounds of capital-raising and exploration of a potential sale of the business.
3.17.14 The Ever-Changing Registration Landscape for Private Company Brokers
Financial Services Alert
2.19.12 With Administrative Actions Increasing, It's Time to Review Compliance Programs, Investment News
5.23.11 SEC Proposes to Increase Thresholds to Charge Performance Fees
3.01.11 Changes Imposed on Missouri Asset Managers by Dodd-Frank, St. Louis Bar Journal
1.18.11 Implementing Dodd-Frank: SEC Proposes Rules for the Switch
9.21.10 SEC Adopts Final Rules on Shareholder Proxy Access
9.15.10 Financial Reform Impact on Registered and Unregistered Asset Managers
Seminar Kansas City, MO, Omaha, NE and St. Louis, MO
7.28.10 Amendments to Form ADV Adopted
2.16.10 Sentencing Commission Signals Change in Effective Compliance Program Requirements
1.27.10 SEC Expands Disclosure Requirements for Fund Proxy and Registration Statements
In The News
1.04.08 Blackwell Sanders Elects 12 New Partners
Documents by this lawyer on Martindale.com
The Ever-Changing Registration Landscape for Private Company Brokers
Daniel A. Peterson, March 20, 2014
Two recent developments may impact when certain financial intermediaries should register as broker-dealers under federal law: (1) a significant no-action letter issued by the SEC, and (2) legislation passed by the U.S. House of Representatives.
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