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dzinman@rkollp.com

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Daniel C. Zinman

Partner

Daniel C. Zinman concentrates his practice in regulatory proceedings, internal investigations, white collar criminal defense matters and commercial litigations. He often represents banks, broker-dealers, investment advisors, corporate officers, securities professionals, lawyers and other entities and individuals in connection with investigations and inquiries by the DOJ, SEC, FINRA and other governmental entities and SROs. Mr. Zinman also represents companies and senior executives in connection with complex commercial litigations and arbitrations, including securities class action lawsuits.

Mr. Zinman has served as the Court appointed Receiver, and as lead counsel to the Court appointed Receiver, for several companies. In addition, he helps companies develop and implement comprehensive ethics and compliance policies, procedures and training programs.

Recent significant engagements include:

• Representing a large broker-dealer and its managers in an SRO investigation concerning fraud and misappropriation of client assets;
• Representing eighteen financial advisors in a broad SRO investigation relating to allegations of churning, excessive trading and unsuitable investment recommendationsl;
• Representing a public company in an internal investigation relating to allegations of fraud in the sale of a foreign subsidiary;
• Representing numerous senior corporate officers as well as mutual fund portfolio managers in DOJ and SEC investigations concerning insider trading allegations;
• Representing hedge fund traders and institutional portfolio managers in SEC and SRO investigations relating to alleged violations of Regulation SHO;
• Representing numerous senior securities industry professionals in DOJ, SEC and SRO investigations, as well as corresponding civil litigations, concerning allegations relating to market timing;
• Representing numerous senior insurance company executives in SEC and NY Attorney General investigations, as well as corresponding securities class actions and ERISA litigations, concerning allegations relating to bid-rigging, tying, steering and contingent commissions;
• Representing a brokerage firm in connection with multiple commercial litigations and related SRO investigations;
• Representing numerous financial institutions and securities professionals in connection with arbitrations and commercial litigations;
• Serving as the Court appointed Receiver in FTC v. Evan Blumenstein et al., 01 Civ. 8987 (HB);
• Serving as the Court appointed Receiver in Silver v. Goldberg, 92 Civ. 6989 (HB);
• Serving as lead counsel to the Receiver in SEC v. Bernard L. Madoff et al., 08 Civ. 10791 (LLS);
• Serving as lead counsel to the Independent Examiner in United States v. Computer Associates International, Inc., Cr. No. 04-837 (ILG);
• Overseeing a public company’s creation and implementation of compliance and ethics policies and procedures, as well as corresponding training programs;
• Developing compliance training materials for broker dealers and their financial advisors.

Mr. Zinman was recognized as a 2009 New York Super Lawyer for his business and securities litigation work as well as his white collar criminal defense expertise. He is also an Adjunct Assistant Professor at Fordham University School of Law, where he teaches legal writing.