Daniel D. Hill

Of Counsel

Daniel Hill brings a wealth of real world business experience to his practice. His practice focuses primarily on investment and securities disputes, as well as business and corporate law including cyber security and data breach issues.

In addition to his numerous corporate clients, Dan works closely with data security providers and represents investors, financial advisors, and broker-dealers in litigation and regulatory matters; is a FINRA arbitrator having chaired several FINRA panels; and has also ruled on a multi-million dollar FINRA arbitration. Dan is also an approved RIA/financial advisor auditor.

Dan has helped numerous businesses from startup status to regional, national and international status. His clients include closely held and vertically integrated clients involved in data security, manufacturing, marketing, and financing. Other clients include road reclamation and construction companies, iron and steel construction companies, clients with businesses that are open to the public, commercial real estate companies, financial advisors and East Indian suppliers of IT experts. He also represents a number of regional and national banks.

As well as being a business owner himself, and Senior Corporate Counsel for a publicly traded company doing business in 46 states, Dan has represented clients from all sides of the legal table. He brings many years of a rounded, realistic and economically rational perspective to the practice of law. Clients, other attorneys and judges alike recognize and acknowledge his penchant for efficiency, detail and professionalism.

Since 1987, and after working daily with a United States District Court Chief Judge in 1986, he has represented a varied and diverse set of clients in matters ranging from the deceptively routine to the highly complex.

Education

  • J.D., University of Minnesota Law School
  • B.A., Concordia College

Bar & Court Admissions

  • Utah State Bar
  • South Dakota Bar
  • Minnesota Bar
  • U.S. District Court, District of Utah
  • U.S. District Court, District of Minnesota
  • 8th Circuit Court of Appeals
  • 10th Circuit Court of Appeals
  • U.S. Supreme Court
  • Speaker, Could this Real Estate Investment be a Ponzi Scheme? Views on Fraud in Utah, Mid-Year Utah State Bar Conference, March 2018
  • Author, Virtual Currency Update, SCM blog post, March 2018
  • Author, Virtual Currencies 101, SCM blog post, March 2018
  • Author, Financial Advisor and Broker Dealer Compliance in 2018, SCM blog post January 2018
  • Author, Financial Advisors Making Their Way Into the Modern World, SCM blog post, January 2018
  • Speaker, Millenials, Millenial Investing and Robo-Advisors, Utah Financial Planning Association’s Annual Symposium , September 2017
  • Speaker, Social Media and Digital Messaging for Financial, Utah Financial Planning Association’s Annual Symposium , September 2017
  • Speaker, The Reptile Theory at Trial, The Harmonie Group, Vancouver, September 2017
  • Speaker, DOL Fiduciary, Utah State Bar’s Annual Securities Law Workshop, Salt Lake City, August 2017
  • Author, One Financial Advisor’s Cautionary Tale, SCM blog post, July 2017
  • Speaker, Data Security and Utah Professionals: The Legal and Ethical Obligations, Utah Valley University Business & Economic Forum, May 2017
  • Author, DOL Fiduciary Rule Update, SCM blog post, May 2017
  • Speaker, The Reptile Theory at Trial, The Harmonie Group, Boston, May 2017
  • Author, Robo-Advisers: A Fast Growing Trend, SCM blog post, March 2017
  • Author, Regulatory Reform and the Financial Services Industry, SCM blog post, February 2017
  • Author, A Look Back (2016) and A Look Forward (2017) at FINRA Regulations, January 2017
  • Author, New DOL Rule Already Here?, November 2016
  • Author, Data Security Failures Lead to $650,000 FINRA Fine and Censure, November 2016
  • Speaker, Cyber Security Issues in the Financial Industry, Financial Planning Association – Utah Symposium, September 2016
  • Speaker, Being Compliant with Social Media, Financial Planning Association – Baltimore Convention Center, September 2016
  • Author, Investment Advisers Modernization Act, September 2016
  • Speaker, Cyber Security Issues in Financial Services: How to Stay Protected, Financial Planning Association – Baltimore Convention Center, September 2016
  • Co-author, Unwitting Accomplices: Employees and vendors—not hackers—pose greatest data breach threat, Utah Business Magazine, July 2016
  • Speaker, Cyber Security: Emerging Risks and Trends, Utah Valley University Business & Economic Forum, May 2016
  • Author, Digital Investment Advice Tools, April 2016
  • Author, HB251, March 2016
  • Author, AML Policies – Are You At Risk?, February 2016
  • Interview, Why Your Financial Advisor Doesn’t Return Your Texts, Forbes.com article by Nancy Anderson, December 2015
  • Speaker, How to Minimize the Risk of Being Sued by Your Client, Financial Planning Association BE Annual Conference, September 2015
  • Speaker, The SEC’s Cyber Security Initiative: What It Means for Compliance, National Financial Planning Association Conference, Boston, September 2015
  • Speaker, How to Minimize the Risk of Being Sued by Your Client, Utah Financial Planning Association Annual Symposium, Salt Lake City, September 2015
  • Speaker, Operation Choke Point, Utah State Bar Annual Securities Conference, August 2015
  • Author, Overbroad Confidentiality Provisions in NDAs, Employment Agreements and Settlement Agreements, July 2015
  • Author, Proposed IRA Examination Legislation, June 2015
  • Author, Proposed FINRA Rule 2272 – Sale of Securities to Members of the Armed Services and Their Dependents, Financial Planning Association, June 2015
  • Author, Joint Securities and Insurance Licenses, Financial Planning Association, April 2015
  • Author, SEC/FINRA Focus on Sale of VAs to Seniors, Financial Planning Association, April 2015
  • Author, Utah Financial Capability Survey Results (via FINRA), Financial Planning Association, April 2015
  • Author, DOE v Fox Financial (BD supervision requirements for RIAs), Financial Planning Association, March 2015
  • Author, Use of Consolidated Reports, Financial Planning Association, March 2015
  • Interview, IRA Rollovers, Forbes.com, author Nancy Anderson, February 2015
  • Speaker, IRA Rollovers, Financial Planning Association of Utah, January 2015
  • Author, New Background Check Rule, Utah Financial Planning Association, January 2015
  • Speaker, Guidelines of Social Media, Utah Financial Planning Association Symposium, 2014
  • Author, One Bad Apple Can Spoil the Barrel, Utah Financial Planning Association, September 2014
  • Author, Variable Annuities Update, Utah Financial Planning Association, October 2014
  • Author, IRA Rollovers Subject to Increasing Regulatory Scrutiny, Utah Financial Planning Association, November 2014
  • Author, Inspection of Branch Offices, Utah Financial Planning Association, December 2014
  • Speaker, Use of Social Media by Investment Advisors, Utah Securities and Investment Conference, 2013
  • Author, Social Media and Investment Advisers, Utah Business, March 2013
  • Financial Industry Regulatory Authority – Arbitrator
  • RIA/Financial Advisor auditor
  • Utah Bar Association – Securities Law Section, Chair
  • Minnesota Bar Association
  • South Dakota Bar Association

Outside of the office, Dan is an avid outdoorsman with a particular interest in mountain climbing and adventure travel.