Daniel Cantu has over 20 years of experience in legal and regulatory roles. He currently works as a Senior Counsel at the Financial Industry Regulatory Authority, where he leads complex investigations and negotiates settlements. Previously, he was a law professor, associate at Gibson Dunn, and clerked for a judge on the D.C. Court of Appeals. He has expertise in securities, anti-money laundering, and other financial compliance issues.

1. Daniel Cantu
4641 Latrobe Place, Alexandria, VA 22311
Mobile: (703) 622-8089
danielalfonsocantu@gmail.com
EXPERIENCE
Financial Industry Regulatory Authority (FINRA) Senior Counsel (2012 – Present)
Department of Enforcement Principal Counsel (2010 – 12)
Ø Lead complex investigations of financial institutions and individuals in matters involving
violations of the federal securities laws and FINRA rules.
Ø Serve as counsel for Enforcement in disciplinary hearings of FINRA members and
associated persons; introduce evidence, cross-examine witnesses, and present opening
and closing arguments.
Ø Negotiate settlements with financial institutions and individuals in disciplinary actions.
Significant settlements have involved the anti-money laundering provisions of the Bank
Secrecy Act, Section 5 of the Securities Act, and financial fraud.
Ø Write complaints, briefs, motions, and legal research memoranda on complex issues
involving the federal securities laws and regulations, the rules of the Municipal Securities
Rulemaking Board, and FINRA rules.
Ø Coordinate regulatory activities with the Securities and Exchange Commission and other
federal and state regulatory organizations.
George Washington University Associate Professor (2011 – 2012)
Ø Taught legal writing and advocacy to law students.
Gibson, Dunn & Crutcher LLP Senior Associate (2006 – 2010)
Associate (1999 – 2000; 2001 – 2006)
Ø Represented publicly traded corporations and their boards of directors, audit committees,
special litigation committees, directors, officers, executives and employees in federal and
state district and appellate courts. Representative matters involved securities fraud,
accounting errors and misstatements, breach of fiduciary duty, False Claims Act
allegations, and employment law.
Ø Defended clients in governmental investigations, including actions before the Department
of Justice (civil and criminal) and the Department of Health and Human Services.
Ø Conducted internal corporate investigations on behalf of audit committees, special board
committees, and senior management.
Ø Supervised junior associates and staff in drafting motions, preparing witnesses,
responding to civil discovery, and producing documents in governmental investigations.

2. District of Columbia Court of Appeals Law Clerk (2000 – 2001)
Honorable Vanessa Ruiz
U.S. House of Representatives Professional Staff (1993 – 1996)
Appropriations Committee
Ø Advised Committee Chair on federal law enforcement policy.
Ø Represented Committee in meetings with Administration officials and non-governmental
organizations on budget priorities and allocations.
Ø Supervised investigations conducted by Committee Staff.
Executive Office of the President Economist/Budget Analyst (1986 – 1993)
Office of Management and Budget
Ø Analyzed federal spending on foreign aid, international organizations, and export
promotion programs.
Ø Analyzed default risk in international lending.
EDUCATION
University of Chicago Law School, Juris Doctor, 1999
Comments Editor, University of Chicago Legal Forum
Princeton University, Master of Public and International Affairs, 1986
University of California, Berkeley, Bachelor of Arts, 1983
MEMBERSHIPS
District of Columbia Bar
Virginia Bar (Associate Member)
LANGUAGE
Spanish