Daniel A. Ball (Danny) joined SPC Financial® (SPC) in 2015 as its General Counsel and Chief Compliance Officer. He holds a General Securities Representative (Series 7) license, a NASAA Uniform Combined State Law (Series 66) license, and a General Securities Sales Supervisor license (Series 9 and 10). He is a Registered Principal with Raymond James Financial Services, Inc.
Danny’s 30+ years of legal experience includes positions in the federal government and private practice: Intern for Chief Judge of the District of Columbia Superior Court; Law Clerk in the Department of Justice, Tax and Antitrust Divisions; Associate Attorney in a D.C. boutique trial firm; Staff Attorney for the U.S. Securities and Exchange Commission; Partner of Lewis, Goldberg & Ball, P.C. (l/k/a Goldberg & Ball, P.C.); Of Counsel with Selzer, Gurvitch, Rabin and Obceny, Chtd.; and Principal of Ball Law Offices, P.C. Danny’s private practice consisted of representing clients in securities and business litigation, securities transactions, investment advisor and broker-dealer regulatory matters, SEC and FINRA matters, employment, and trademark law. In private practice, Danny held an AV® rating since 1990 from Martindale-Hubbell®, the highest preeminent peer review rating for professional ability and ethics. He was an active member of the Public Investors Arbitration Bar Association (PIABA) for 20 years prior to joining SPC. He also periodically served as an Arbitrator for FINRA.
Danny earned a B.A. degree from the University of Texas at Austin and a J.D. degree from Antioch School of Law in Washington, D.C. He also earned a Master of Laws in Securities Regulation (LL.M.) degree from Georgetown University Law Center.
Danny is married to Riva, a retired partner of PricewaterhouseCoopers. They have two children and reside in Potomac, Maryland. He is an avid amateur chef, enjoys working out, running, baseball, and fishing.