Before launching Gloor Law And Arbitration, Dana was a Principal at the law firm of Miles & Stockbridge, P.C., an Am Law 200 law firm, where she represented broker-dealers, investment advisors and their representatives in litigation, arbitration and regulatory matters. She advised clients on regulatory compliance, and represented firms and individuals in matters brought by the SEC, FINRA and State regulators. She conducted internal investigations for firms, assisted in responding to examinations and inquiries, and negotiated with or litigated against regulators. She also 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.
In 2019, Dana became a member of the American Arbitration Association’s national Commercial Arbitration and Consumer Arbitration Panels. Dana has served as arbitrator for a variety of commercial and consumer disputes.
Dana has completed the Maryland State Bar Association 40-Hour Basic Mediation Training, and is a member of the Maryland Program for Mediator Excellence.
Before returning to private practice, Dana was in-house counsel to dual registered broker-dealer/ investment advisors. She worked for TD Ameritrade as in-house Counsel, representing the company in complex litigation and arbitration matters.
Prior to joining TD Ameritrade, Dana was General Counsel of Ferris, Baker Watts, Inc., a dual-registered broker dealer and investment advisor. She was a member of its Board of Directors and the Executive Committee of the Board, and served as the primary source of legal counsel to the firm. The Compliance, Internal Audit and AML/ Risk Management functions also reported to her. As General Counsel, Dana managed all litigation and arbitrations, and participated in managing the firm’s successful response to a major regulatory investigation conducted in tandem by the SEC and Department of Justice. She also provided the in-house legal representation to the firm in connection with its acquisition by the American broker-dealer subsidiary of the Royal Bank of Canada.
For five years prior to her appointment as General Counsel, she served as Associate General Counsel, in charge of all litigation involving the firm. In that role, she represented the company in hundreds of matters, including a wide variety of commercial, employment, securities arbitration, and regulatory matters, and managed outside counsel in litigation matters. She also advised on regulatory compliance and employment issues.
Dana was a Partner in the Litigation Department of a Baltimore-based law firm before crossing Charles Street to work for Ferris, Baker Watts. At that firm, Dana represented businesses and individuals in commercial litigation and other matters.
She served as law clerk to the Honorable John C. Eldridge of the Court of Appeals of Maryland.
Education
University of Maryland School of Law (J.D., with honors, 1992); Order of the Coif
University of Maryland (B.G.S., summa cum laude, 1989); Phi Beta Kappa; Phi Kappa Phi
Special Honors
Chambers USA – America’s Leading Lawyers for Business: Recognized Practitioner in the area of Litigation: General Commercial (2017-2019)
Bar Admissions
District of Columbia, 1997
Maryland, 1992
Professional And Community Affiliations
American Bar Association (Section of Dispute Resolution; Advocacy Committee Co-Chair 2019-2020)
Maryland State Bar Association
Maryland Program for Mediator Excellence
United Way of Central Maryland (Board of Directors, 2017 – 2022; Women United (Chair, 2014-2015; Executive Council, 2010-2018); Tocqueville Society, 2006 – present)
Baltimore Hebrew Congregation
Publications
New Developments in Securities Litigation: Leading Lawyers on Adapting to Trends in Securities Litigation and Regulatory Enforcement. Aspatore Books/Thomson Reuters, 2016 Edition. Contributed chapter.
Recent Speaking engagements
Annual Testing And Review Of Business, National Society of Compliance Professionals, National Conference, Baltimore, MD, October 2020
The Jazz Of Mediation, A to Z, Panel discussion, American Bar Association Section of Dispute Resolution Spring Conference (held online), May 2020
The Advocate’s Perspective: Seemingly Innocuous Procedural Orders in Arbitration, CLE Webinar for American Bar Association, February 2020
When Is An Advertisement Deemed To Be Misleading?
National Society of Compliance Professionals, National Conference, Baltimore, MD October 2019
Examining The Love Shack: A Case Study
Financial Industry Regulatory Authority (FINRA) Risk Oversight & Operational Regulation Offsite Seminar, New York, NY, September 2019
American Bar Association 12th Annual Arbitration Training Institute: The All-Important Preliminary Conference, Philadelphia, PA, May 2019
The Anatomy Of Contracts
Society of Financial Services Professionals, Baltimore, MD April 2019
Don’t Do This! Recent Enforcement Actions Involving Advisors
Society of Financial Services Professionals Baltimore Chapter Annual Business Meeting, June 2018
Recent Developments In AML And OFAC Compliance: Identifying Your New Client
National Society of Compliance Professionals (NSCP) Spring Conference, Newport Beach, CA, April 2017