Mark Dauer is an attorney who was with the Financial Industry Regulatory Authority (f/k/a NASD) from 1999 through January 2014. He retired as Deputy Chief Litigation Counsel in FINRA’s Department of Enforcement and was responsible for review and approval of new complaints in formal disciplinary actions originating in FINRA district offices. He also maintained an active docket of disciplinary actions that he litigated against broker-dealers and associated persons throughout the country. He has extensive experience litigating cases involving the Securities Exchange Act of 1934, FINRA and NASD rules, and rules of the Municipal Securities Rule making Board. He was in the private practice of law from 1990 through 1999, engaged in a general civil practice with emphasis in the areas of broker-dealer disputes, estate planning, probate, trusts and commercial litigation. In the 1980s he was treasurer and Financial and Operations Principal of a bank-affiliated broker-dealer.
Certified Public Accountant, inactive
Certified Regulatory and Compliance Professional
FINRA Institute at Wharton, 2007
NASD Regulatory Expertise Group: Mutual Funds/Variable Contract Practices, 2002–2006
Trustee and Treasurer, New Orleans Botanical Garden Foundation