
Daniel A. Hetzel
Partner
- Professional Overview
Daniel A. Hetzel concentrates his practice in the area of financial services litigation and arbitration, as well as professional liability and civil litigation. Mr. Hetzel defends securities broker-dealers, registered investment advisers, registered representatives, financial advisors, insurance agents and other professionals in state and federal court and before the dispute resolution tribunal of the Financial Industry Regulatory Authority.
Mr. Hetzel has extensive experience defending cases involving managed accounts, private placements, REITS, alternative investments, variable annuities, mutual funds, exchange traded funds, life insurance trusts, deferred compensation plans and welfare benefit plans. He also has experience representing securities broker-dealers, registered investment advisers and their representatives in regulatory and enforcement matters before the SEC, FINRA and state securities commissioners. Mr. Hetzel also works closely with the compliance departments of broker-dealers and other financial institutions to ensure that their internal policies and procedures are consistent with the mandates of the SEC, FINRA and state securities commissioners.
Mr. Hetzel is a Certified Fraud Examiner and is a member of the Securities Law Committee of the Chicago Bar Association.
- Practice Areas
- Education and Admissions
Education
- University of Chicago Law School – J.D.
- DePaul University Kellstadt Graduate
- School of Business – M.B.A.
- Northwestern University – B.A.
- Summa cum laude
- Phi Beta Kappa
Admissions
- U.S. District Court
- Northern District of Illinois
States Licensed
- Illinois
- Virginia
- Professional Organization Memberships
- Chicago Bar Association
- Securities Law Committee
- Chicago Bar Association
- News, Honors, Publications & Speeches Publications
- Industry Arbitration Claims Spike as Coronavirus Disruptions Continue, InvestmentNews, ft. Daniel Hetzel
- Surge In Client FINRA Arbitration Filings May Be On Horizon, Financial Advisor, ft. Daniel Hetzel
- Finding the Right Balance: Meeting the Needs of Senior Investors Amid Heightened Regulatory Priorities, National Society of Compliance Professionals
- Increased Scrutiny from State and Local Regulators, Aon Advisor Solutions
- Industry Arbitration Claims Spike as Coronavirus Disruptions Continue, InvestmentNews, ft. Daniel Hetzel
- Surge In Client FINRA Arbitration Filings May Be On Horizon, Financial Advisor, ft. Daniel Hetzel
- Finding the Right Balance: Meeting the Needs of Senior Investors Amid Heightened Regulatory Priorities, National Society of Compliance Professionals