Daniel’s interest in finance started in a high school economics class when he was tasked with building a portfolio and competing against classmates to generate the best return. He has been engulfed in the business world ever since and studied finance and economics in college. His background studying business allows him to speak the same language as his corporate clients.
As a member of the firm’s Banking & Finance and Corporate Service Groups, Daniel provides legal guidance with a business perspective in mind. He represents public and private corporations, banks, and financial institutions in regulatory issues, corporate governance, mergers and acquisitions, state blue sky laws, the Securities Act of ’33 and ’34, and general counsel services. He represents clients in connection with the preparation and submission of reports under the Securities Exchange Act of 1934, such as Forms 10-K, 10-Q, and 8-K, as well as Section 16 filings.
Daniel looks at legal issues from every angle. His goal is to not only solve the issue at hand, but to prevent potential problems down the road. Prior to joining the firm, Daniel worked as the Chief Deputy Securities Commissioner for the Indiana Secretary of State.
Resources & Insights
- SmithAmundsen Corporate Alert,
- SmithAmundsen Financial Services and Coporate Alert,
- Contract Drafting During Historic Inflation IncreasesContract Drafting During Historic Inflation Increases
According to the Consumer Price Index (CPI), the United States is facing the highest inflation numbers in over 40 years.
- BlockFi Settlement: A New Era in Crypto Regulation?BlockFi Settlement: A New Era in Crypto Regulation?
On February 14, 2022, BlockFi Lending LLC (BlockFi) settled charges with the SEC and state securities regulators for a total of $100 million in penalties.
- SmithAmundsen Welcomes Daniel Spungen as Senior Counsel in IndianapolisSmithAmundsen Welcomes Daniel Spungen as Senior Counsel in Indianapolis
Please join us in welcoming Daniel!