Clients describe her as "responsive and highly knowledgeable" and aver that "on the most technical FINRA issues she is the best lawyer on The Street."Chambers USA 2018: Financial Services Regulation: Broker Dealer Band 1

Dana G. Fleischman

New York
  • 885 Third Avenue
  • New York, NY 10022-4834
  • USA
 
 

Dana Fleischman is a partner in the New York office of Latham & Watkins. Ms. Fleischman is a member of the Corporate Department and the Capital Markets and Financial Regulatory Practices, as well as a member of the firm’s Financial Institutions Group. Ms. Fleischman’s practice focuses on matters involving the regulation of broker-dealers and securities markets. Her clients consist of global investment banking firms, leading financial trade associations, electronic trading platforms, investment advisers, exchanges, clearing organizations, and US and non-US banks and bank holding companies.

Ms. Fleischman advises clients on a wide range of corporate and regulatory compliance matters, including in connection with mergers and acquisitions and cross-border transactions. She also has extensive experience representing US and non-US corporate and investment banking clients in public offerings and private placements, and she assists clients in connection with internal investigations and enforcement matters.

Ms. Fleischman counsels securities firms and trade associations with respect to, and has been actively involved in commenting on, significant regulatory initiatives and rule-making proposals and has been instrumental in obtaining no-action relief, exemptive orders, and interpretive guidance from various regulatory bodies and self-regulatory organizations (including the Securities and Exchange Commission, the Financial Industry Regulatory Authority (FINRA), and the New York Stock Exchange) on behalf of both US and non-US based clients.

Ms. Fleischman is a member of the American Bar Association’s (ABA) Federal Securities Regulation Committee, Chair of the ABA's FINRA Subcommittee, former Chair of the ABA’s Trading and Markets Subcommittee, and a member of the Securities Industry and Financial Markets Association Compliance and Legal Division. She is the recipient of Euromoney’s 2013 Americas Women in Business Law Award for Financial Regulation.

Ms. Fleischman is a frequent speaker at industry conferences and writes on various aspects of securities law and broker-dealer regulatory matters. Chambers USA has ranked Ms. Fleischman in its Band 1 category for many years, noting that she is “renowned for her work advising clients in the broker-dealer and securities” areas and her "depth of knowledge, understanding, and history are phenomenal and hard to replicate." Her clients aver that “on the most technical FINRA issues she is the best lawyer on The Street" and describe her as “responsive and highly knowledgeable” and "the recognized expert across all firms when it comes to research matters." She is widely regarded as a leading figure whose "years of experience and breadth of knowledge" see her handle an impressive spread of regulatory matters.

 
 
 
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