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 has defended 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. 

Admissions

  • Illinois
  • Virginia
  • U.S. District Court
    • Northern District of Illinois

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 and Phi Beta Kappa
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