Dana Gloor

Dana Sirkis Gloor represents broker-dealers, investment advisors, and their representatives in litigation, arbitration, and regulatory matters. She advises clients on regulatory compliance, and represents firms and individuals in matters brought by the SEC, FINRA, and State regulators. Dana conducts internal investigations for 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. Dana is also an Arbitrator on the Commercial Arbitration Panel of the American Arbitration Association (AAA). She serves as a neutral arbitrator in a wide variety of matters, including contract disputes, claims alleging violation of sales practice rules or procedures, violation of suitability rules, misrepresentation and omission, breach of fiduciary duty, margin and promissory note collections, recruitment and raiding issues, breach of non-solicitation or non-competition covenants, indemnification, statutory violations, and employment issues including claims for injunctive relief. Before joining Miles & Stockbridge, Dana was a partner with a law firm based in Florida, and was also Managing Director of a compliance consulting firm, through which she provided securities regulatory compliance consulting to broker-dealers and registered investment advisors. She formed and registered advisory firms, drafted customized Written Supervisory Procedures and Compliance Manuals and other key documents and agreements, assisted with regulatory examinations and filings, and provided ongoing compliance guidance and support for firms.