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Caught Our Eye

Congressional ethics attorney brings integrity to Wall Street

Posted by Nate Hoffman on Nov. 20, 2013

The staff director and chief counsel for the House Ethics Committee is giving a key financial regulator a moral boost.

Dan Schwager has taken a job with the Financial Industry Regulatory Authority as a senior counsel of enforcement. The independent watchdog has congressional authorization to enforce financial rules and regulations among securities firms in the United States. In 2012, FINRA helped refer 692 cases involving fraud and insider training to the Securities and Exchange Commission and ordered violators to fork over $68 million in fines.

Schwager is no stranger to enforcement. For the past four years he was the staff director/chief counsel and counsel for the House Ethics Committee and the Senate Select Committee on Ethics, respectively. The New York-licensed attorney also served as a prosecutor with the U.S. Department of Justice Public Integrity Section and as an assistant district attorney for the New York County District Attorney's Office. He is perhaps best known for bringing campaign finance charges against Hillary Clinton's 2000 Senate campaign financial director, David Rosen, who was acquitted.

Subjects: Daniel Adam Schwager (Dan); House Ethics Committee; Senate Select Committee on Ethics; New York County (N.Y.) District Attorney's Office; U.S. Department of Justice Public Integrity Section; Financial Industry Regulatory Authority Inc.; U.S. Securities and Exchange Commission; Former Sen. Hillary Clinton (D-NY)

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