Dana Gloor


Miles & Stockbridge

Dana Sirkis Gloor represents broker-dealers, investment advisors, and their representatives in litigation, arbitration, and regulatory matters brought by the SEC, FINRA, and State regulators. Dana conducts internal investigations for securities firms, assists in responding to for-cause examinations and inquiries, and negotiates with or litigates against regulators. She also provides compliance guidance and counsel to broker-dealers and investment advisors, including registration of IA firms, developing WSP Manuals, Compliance Manuals, Codes of Ethics, disclosures, forms and checklists. Before joining Miles & Stockbridge, Dana served as in-house Counsel to TD Ameritrade, representing the company in complex litigation and arbitration matters. Before joining TD Ameritrade, Dana was the General Counsel of Ferris, Baker Watts, Inc., a dual-registered broker-dealer and investment adviser. She was also a member of its Board of Directors and the Executive Committee of the Board. She served as FBW’s Associate General Counsel prior to becoming General Counsel; in that role, she was responsible for all litigation involving the firm, including commercial, employment, securities arbitration, and regulatory matters.

Related Sessions

View full schedule

Quick Links

For More Information, Contact Us:

(860) 672-0843 info@nscp.org