Daniel T. Chaudoin
Dan is a former Assistant Director of the United States Securities and Exchange Commission (SEC) and has decades of experience representing financial institutions, public companies, and individuals in high-profile investigations regarding federal securities laws and consumer protection laws.
Key Matters
Some of the experience represented below may have been handled at a previous firm.
- Representing a major financial institution in coordinated investigations by the CFPB and state attorneys general relating to its partnership with an e-wallet provider
- Representing an executive at a pharmaceutical company in an investigation by the SEC into alleged insider trading
- Representing an executive of a wellness company in an investigation by the SEC related to alleged fraudulent public disclosures
- Representing a major financial institution in successfully negotiating one of the largest CFPB settlements in agency history
- Representing a broker-dealer in attaining a positive outcome in a CFTC investigation relating to precious metals sales and offerings
- Representing a major financial institution in over-lapping inquiries by multiple regulators, including the CFPB and the Office of the Comptroller of the Currency, relating to consumer account opening practices
- Representing a special purpose acquisition company (SPAC) in a precedent setting SEC enforcement action
- Representing a broker-dealer relating to congressional and regulatory investigations
- Representing a major financial institution relating to a CFPB investigation into its student loan servicing practices
- Representing the Audit Committee of a public company in investigating whistleblower allegations relating to financial reporting practices
- Representing broker-dealers in SEC and FINRA investigations regarding institutional trading and market structure issues, including alleged violations of the SEC’s Market Access Rule, ATS (“dark pool”) order routing and trade reporting practices, and alleged market manipulation “spoofing”