Dan Bell focuses his practice in the area of securities law compliance and regulatory defense representing broker-dealers, investment advisors, banks, and financial planners in all aspects of federal and state securities compliance and defense matters, including investigations and administrative proceedings before the SEC, FINRA, and all 50 state securities commissions. He represents national and local securities firms in multi-jurisdictional investigations and enforcement proceedings, and has successfully concluded six 50 state settlements on behalf of broker-dealer clients.

Mr. Bell has testified before both the U.S. Senate and U.S. House of Representatives on issues such as regulation of tender offers, oversight of financial planners, and the budget of the Securities and Exchange Commission. He has also chaired or served on numerous multi-state committees and task forces on topics such as shareholder voting rights, the national market system, financial planners and investment advisors, commodities trading, uniformity of state securities laws, and coordination of federal and multi-state enforcement programs and surveillance.

Prior to joining the firm, Mr. Bell was a partner in the Raleigh office of an international law firm where his practice focused on government enforcement, broker-dealer representation, global government solutions, investment management including Hedge Funds and alternative investments, and securities enforcement. Before entering private practice, Mr. Bell served as the North Carolina Deputy to the Secretary of State in charge of securities regulation and enforcement from 1981 to 1988. He was responsible for oversight of the securities industry in North Carolina including regulation of securities professionals, registration of securities offerings, and the investigative and enforcement authority of the state's securities laws. Mr. Bell served on the Board of Directors and as President of the North American Securities Administrators Association (NASAA).

In 1993, Mr. Bell was recognized by the National Association of Personal Financial Advisors, Inc. with the “Distinguished Service Award" and in 1987, he was awarded the “Blue Sky Cube" by the North American Securities Administrators Association, Inc. Since 1996, Mr. Bell is peer rated by Martindale Hubbell as AV® Preeminent™, the highest rating in ethical standards and legal ability.*

To download a brochure highlighting Mr. Bell's securities compliance, enforcement and litigation practice, please click here.

*AV®, BV®, AV Preeminent® and BV Distinguished® are registered certification marks of Reed Elsevier Properties Inc., used under in accordance with the Martindale-Hubbell certification procedures, standards and policies.

Professional & Community Activities

American Bar Association, State and Federal Securities Committees and Subcommittees, Member

North Carolina Bar Association, Securities Committee, Member

National Association of Personal Financial Advisors, Inc., Board of Directors, Member (1990-1993)

National Society of Compliance Professionals, Inc., Board of Directors (1990-1992)

North American Securities Administrators Association, Inc., Board of Directors, Member (1984-1988); President (1986-1987)

Securities Industry and Financial Markets Association, Compliance and Legal Division, Member

Education

  • Loyola University New Orleans School of Law, J.D. (1979)
  • East Carolina University, M.B.A. (1981)
  • University of North Carolina, B.S.B.A. (1976)

Bar Admissions

  • North Carolina (1980)
  • New York (2001)

Admissions

  • U.S. District Court for the Eastern District of North Carolina

Who We Are

Suite 1400, 4208 Six Forks Road
Raleigh, NC, 27609
USA
t +1 919.420.1834
f +1 919.510.6174
Suite 2400, 214 North Tryon Street
Charlotte, NC, 28202-2381
USA
t +1 704.338.5284

F. Daniel Bell III

Experience Highlights

Defense of a national investment banking firm in investigations and settlements
Represented a national investment banking firm before a NASAA multi-state task force investigation, negotiation and settlement with all 50 states of more
Defense of securities broker-dealer before multi-state task force
Served as defense counsel to a New York-based securities broker-dealer before a NASAA multi-state task force in negotiating a global settlement, more
Negotiations and settlement on behalf of national retail broker-dealer
Represented national retail broker-dealer in NASAA multi-state task force negotiations and global settlement with the states regarding the sale of more
Representation of investment manager in investigations
Successfully navigated an investment manager facing charges of criminal conduct, bankruptcy, and SEC and state investigations. more