Daniel H. Kolber
Daniel H. Kolber is Of Counsel to Warren Law Group.
Dan has over 40 years of experience as an attorney focusing his practice on corporate transactions, FINRA arbitrations and mediations, securities law, corporate governance, and regulatory compliance. In addition to his legal career, Dan has served as the CEO for various investment and securities firms where he gained further experience in the financial world. Dan’s expertise on the investment and securities industry gives clients a first-hand perspective on their case.
Dan focuses much of his practice on blue sky filings, public and private offerings, 5123 compliance offerings, registered investment advisory filings, cross border filings, Form D, and S1 registrations, and PIPE’s.
Dan holds several licenses, including: General Securities Principal (Series 24), Financial and Operations Principal (Series 27), Municipal Securities Principal (Series 53), Registered Options Principal (Series 4), Research Principal (Series 87), Investment Banker (Series 79) and Registered Investment Advisor (Series 65). He has experience as and is currently on, the Chairman Arbitration and Mediator rosters for FINRA (formerly the National Association of Securities Dealers). He also has been featured in various publications including The Wall Street Journal, Business Week, New York Times, NPR, and ABC Nightly News.
JD, University of Virginia School of Law
LLM, New York University School of Law
Bar Admissions & Memberships
State Of New York
State of Florida
State of Georgia
State of Virginia
Representative Matters Include:
- In 2022, won a $908,000 FINRA raiding arbitration award in Intellivest Securities, Inc. v. Growth Capital Services, Inc.
- In 2021, won or favorably settled 8 FINRA arbitration cases.
- Represent issuers of Regulation D offerings related to the crypto and blockchain industry.
- Represented Grady Health Care System, the largest hospital in the Southeast, in their restructuring.
- Represented Goldman Sachs Industrial bank in a loan.
- Represented Coretta Scott King and the Martin Luther King Center in Atlanta in a financing.
- Represented the City of Atlanta in a variety of bond offerings and other matters.
- Represented Air Atlanta and invented for it the zero-coupon convertible note for financing the purchase of 9 Boeing jets.
- Represented several of the wealthiest families in Mexico who were victims of one of the largest Ponzi schemes in Mexican history.
- Represented a college and allowed them to continue operating by issuing a legal opinion that allowed them to alter the terms of a bequest.
- Represented dozens of registered representatives, including in a case where I successfully argued that a $500,000 "forgivable note" was actually a non-refundable signing bonus.
- Represented over 40 FINRA broker-dealers in their creation and operations.
- Represented over 100 municipal bond syndicates in the issuance of over $10 billion in bonds.
- Represented dozens of public companies in their debt and equity offerings.
- Represented dozens of public companies in their compliance with SEC and exchange listing requirements.
- Represented over 100 issuers of exempt offerings under Regulations D, A, and S domestically and overseas.
- Represented clients in complying with anti-money laundering and other securities issues.
- Represented a person sentenced to life in prison in his attempts to be released on compassionate grounds.
- Represent various anti-death penalty and anti-hate groups and advise them on how to legally engage in street protests.
- Represented various public figures in sports, entertainment, and politics regarding business matters.
- Represented an NFL team in financing their successful bid for an expansion slot in the NFL.
- Represented a franchisee of 45 TGIF restaurants in their financing and other affairs.
- Represented two of the nation's largest real estate investment trusts in their Chapter 11 cases.
- Represented a major creditor in the bankruptcy case of the largest bank failure in US history, Washington Mutual Bank.