Areas of Practice
- Investment Adviser & Broker-Dealer Compliance
- Private Investment Funds (Hedge Funds)
Daniel A. Bernstein, JD
Chief Regulatory Counsel
Daniel Bernstein is Chief Regulatory Counsel at the Hamburger Law Firm and MarketCounsel, an affiliated business, regulatory, and compliance consulting firm for entrepreneurial investment advisory firms nationwide. At MarketCounsel, he is responsible for the ongoing development of the firm’s content while serving as a subject matter expert and resource for the firm’s other professionals while continuing to advise clients regarding their legal and regulatory needs. At the Hamburger Law Firm, Dan’s work concentrates in the areas of the regulation and compliance of investment advisers and broker-dealers.
Dan has significant experience in providing a broad range of legal services to individuals and institutions in the securities industry. After his clerkship with Judge Joseph C. Small of the New Jersey Tax Court, he joined a large New Jersey law firm working with investment advisers. Dan continued to develop his securities law practice, becoming associated with two larger national law firms where he further honed his skills and gained experience representing regional and national firms in the financial services industry. His practice included the preparation of offering documents, regulatory filings and other legal documents for numerous investment advisers, domestic and offshore hedge funds, broker-dealers and other regional and national financial institutions, as well acting as liaison for their service providers. After gaining such rich experience, he joined MarketCounsel and the Hamburger Law Firm in 2003 and began working with Brian Hamburger in pursuit of the firms’ goals.
Dan is admitted to the bars of New Jersey and New York, as well as the U.S. District Court for the District of New Jersey. He has successfully passed the FINRA General Securities Representative Exam (Series 7), NASAA Uniform Investment Adviser Law Exam (Series 65) and held New Jersey Property and Casualty and Health Insurance Producer licenses. He earned his undergraduate degree in finance from the University of Connecticut. He earned his Juris Doctor from the Rutgers School of Law where he was Chairman of the Moot Court Board. Prior to attending law school, Daniel researched market information for clients while at Waterhouse Securities. Dan then became a project analyst at Nortel.
Dan lives with his wife, Stacey, their children, Max and Amelia, and their dog, Ozzie, in northern New Jersey.