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Daniel A. Ball

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Daniel A. Ball

General Counsel & Chief Compliance Officer | SPC
Registered Representative | RJFS

Daniel A. Ball (Danny) joined SPC Financial® (SPC) in October 2015 as 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 is a Registered Representative with Raymond James Financial Services, Inc.

He began his career in 1981 as a Legal Intern for Chief Judge H. Carl Moultrie, III of the Superior Court of the District of Columbia and as a Law Clerk with the U.S. Department of Justice, Tax and Antitrust Divisions. Upon graduation from law school, Danny became an Associate Attorney with Lockie and Associates, P.C. in Washington, D.C., where he first learned the art of complex business and securities litigation. Three years later, Danny enrolled in the Master of Laws in Securities Regulation (LL.M.) program at Georgetown University Law Center. He was soon hired as a Staff Attorney by the U.S. Securities and Exchange Commission, Division of Corporation Finance, where he worked for the next three years.

Leaving the government, Danny opened his own law practice, Law Offices of Daniel A. Ball, under which he practiced law for six years. In 1994 he merged his practice and became a Partner of Lewis, Goldberg & Ball, P.C. l/k/a Goldberg & Ball, P.C. for nine additional years.

In 2003, Danny became Of Counsel to Selzer Gurvitch Rabin and Obecny, Chtd. in Bethesda, Maryland. By 2006, he moved his practice out of the firm and practiced law as the Principal of Ball Law Offices, P.C. Prior to joining SPC, Danny’s legal practice consisted of representing clients in securities and business litigation, securities transactions, investment advisor and broker-dealer regulatory matters, SEC, FINRA matters, employment, and trademark law. During Danny’s legal career he has been honored with an AV® rating since 1990 by Martindale-Hubbell®, the highest preeminent peer review rating for professional ability and ethics.

In 1978, he received a BA degree with a major in psychology from the University of Texas at Austin. He earned his JD degree from Antioch School of Law in Washington, D.C. in 1982. He earned a Master of Laws in Securities Regulation (LL.M.) degree from Georgetown University Law Center in 1987.

Mr. Ball 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 (f/k/a NASD).

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.

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