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Daniel K. Roque is Counsel to Lowenstein Sandler’s Litigation Department and a member of its Capital Markets Litigation and White Collar Defense practice groups. Mr. Roque focuses his practice on securities litigation, corporate governance disputes, white-collar criminal matters, and related internal investigations. He has represented special committees and corporate officers and directors in connection with SEC investigations and enforcement proceedings, and in connection with related shareholder class and derivative actions. Mr. Roque has also represented individuals in proceedings initiated by the U.S. Attorney’s Office, the New York District Attorney’s Office, the SEC and the Financial Industry Regulatory Authority (FINRA).
Representative Matters:
- Serves as counsel to special committee of an NYSE-listed company in connection with shareholder derivative actions in federal and state courts alleging wrongdoing regarding CDOs and subprime mortgage loans;
- Served as counsel to special committee of a multinational telecom corporation in connection with shareholder derivative actions in federal and state courts alleging wrongdoing regarding stock-option backdating;
- Served as counsel to special committee of a publicly traded company in connection with shareholder derivative actions in federal and state courts alleging accounting irregularities;
- Represented executive in connection with former employer’s internal investigation into his alleged fraud;
- Represented derivatives trader in connection with DOJ and CFTC investigation into alleged market manipulation;
- Represented broker-dealers in connection with FINRA investigation into alleged fraud and customer privacy violations.
Pro Bono
Mr. Roque is actively involved in pro bono matters. In the infamous Palladium case (featured on NBC’s Dateline) he and his co-counsel obtained an acquittal on behalf of a defendant who had been incarcerated for fifteen years based on a wrongful murder conviction in 1992. He also represents veterans seeking benefits and teaches introductory legal classes to New York City high school students.
Speaking Engagements
- Panelist, "Conducting Workplace Investigations," hosted by the Hispanic National Bar Association, March 2011
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The Second Circuit Mangles Corporate Governance Statute
BNA Securities Regulation & Law Report, August 8, 2011
Donald Corbett,
Daniel Roque
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Halebian: A Victory for the MBCA (CLE Materials)
Contests for Control: Recent Developments in Shareholder Derivative Litigation, April 6, 2011
Daniel Roque
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Halebian v. Berv: A Challenge to the Model Business Corporation Act
Westlaw Journal Corporate Officers & Directors Liability, June 14, 2010
Donald Corbett,
Daniel Roque
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In the New York Law Journal, Lowenstein Sandler's promotion of Eric Chafetz, Ashley Essick, Daniel Roque and Elliott Stein to Counsel, is highlighted.,
New York Law Journal, January 24, 2012
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The Catholic University of America
(J.D., 2005),
magna cum laude, Managing Editor, Catholic University Law Review
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The Catholic University of America
(B.A., 2002),
magna cum laude
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New York
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District of Columbia
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2006,
U.S. District Court, Southern District of New York
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2009,
U.S. District Court, Eastern District of New York
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2010,
U.S. Court of Appeals, Second Circuit
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- Hispanic National Bar Association
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