Daniel Z. Herbst

Dan is a senior associate experienced in securities litigation and enforcement, financial services litigation, and counseling clients in business disputes.

Dan’s practice focuses on litigation, government investigations, and enforcement actions involving federal securities laws and self-regulatory organization regulations. Dan has responded to government and SRO inquiries, conducted investigations, and litigated matters concerning a variety of securities issues including mortgage backed securities, securities fraud, financial accounting practices, the Investment Advisers Act, and alleged “pay-to-play” violations. Dan also has handled several customer and industry broker-dealer disputes and enforcement proceedings before the Financial Industry Regulatory Authority ("FINRA"), the American Arbitration Association ("AAA"), and JAMS. Dan has arbitrated claims before FINRA arbitration panels including the alleged unauthorized sale of collateralized debt obligations (“CDOs”), the suitability of investment recommendations, broker supervision, and matters involving broker long term benefits under “change in control” provisions. Following a multi-week arbitration, Dan obtained a complete defense arbitration award from a FINRA panel in claim alleging the recommendation of variable annuity to an institutional investor was unsuitable.

Dan is also experienced in litigation and regulation concerning credit transactions. Dan represents of several of the world’s top banks and financial institutions in matters involving mortgage and fair lending laws, commercial lending, automobile lending, and foreclosures. Dan has handled dozens of matters on behalf of lenders concerning federal and state lending and consumer protection laws. Representative matters include the dismissal of class action brought under Maryland’s Second Mortgage Loan Law, summary judgment dismissing mortgage fraud, Truth in Lending Act, and Maryland Unfair Trade Practices Act claims, preliminary dismissal of a quiet title action, and summary judgment in wrongful repossession action.

Finally, Dan represents and counsels clients in business disputes and commercial matters with a focus on matters in Maryland and the District of Columbia. Dan counsels clients and litigates disputes concerning defamation, trade libel, trade secrets, false advertising, unfair competition, and federal and state privacy laws.

Dan is a member of the Social and Digital Media Task Force. Dan loves spending time with his daughters Alexa and Zoey and cheering for Michigan football on Saturdays in the fall.

Good to know

Areas of Practice 1) Securities Litigation & Enforcement, 2) Global Regulatory Enforcement, 3) Financial Services Litigation, 4) Broker-Dealer Disputes, 5) Regulatory Proceedings, 6) Commercial Litigation and Disputes, 7) Social & Digital Media Task Force, 8) Data Privacy and 9) Security
Law School The Catholic University of America Columbus School of Law, J.D. 2005
Admitted Year 2000
Education University of Michigan, B.A., 1999
Bar Member / Association District of Columbia Bar Association, Maryland State Bar Association
Most recent firm Reed Smith LLP
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