III Daniel

• Broker-Dealer
• Investment Management, Hedge Funds and Alternative Investments
• Securities Enforcement

Bar of New York

Bar of North Carolina

New York

North Carolina

K&L Gates

Current

East Carolina University

M.B.A.

1981

Loyola University of Chicago School of Law

J.D.

1979

University of North Carolina

B.S.

1976

Current

Activities: American Bar Association, Member, Section of Corporate, Banking and Business Law, State and Federal Securities Committees and Subcommittees, 1990-present

Current

Activities: National Association of Personal Financial Advisors, Inc., Board of Directors, 1990-1993

Current

Activities: National Society of Compliance Professionals, Inc., Board of Directors, 1990-1992; Member, 1990-present

Current

Activities: North American Securities Administrators Association, Inc., Board of Directors, 1984-1988; President, 1986-1987

Current

Activities: Securities Industry Association Compliance and Legal Division, 1995-present