Daniel J. Broxup is a member of the firm’s litigation and securities practice groups. He represents clients in a wide variety of commercial and general civil litigation, and has extensive experience representing investors, securities brokers, and securities brokerage firms in Financial Industry Regulatory Authority (FINRA) arbitration proceedings and in state and federal court injunction litigation. Dan’s financial industry practice has two main components. He represents investors in “customer” cases, which involve claims against securities brokers and investment advisors to recover investment losses. He represents securities brokers and investment advisors in “industry” cases (or intra-industry cases), which typically involve claims for breach of non-solicitation agreements and misappropriation of trade secrets. Dan regularly handles all stages of industry cases from temporary restraining order (TRO) proceedings in state and federal court to final resolution in whatever forum is required. Dan’s practice also includes the representation of creditors in collection actions, including actions to recover fraudulent transfers. He has handled collection actions in state and federal court, including bankruptcy nondischargeability and avoidance actions.

Dan is a member of the Public Investors Arbitration Bar Association (PIABA) and a Co-Director of Michigan State University’s Investor Advocacy Clinic. He regularly speaks and writes about legal issues affecting investors and the investment industry. Dan authors the Investment Matters – Law Blog and has spoken at various seminars, including the Midwest Securities Law Conference. Dan has been quoted and interviewed by numerous media outlets regarding investment-related legal issues, including Crain’s Business Detroit.

Dan received a bachelor of arts degree from the University of Evansville, cum laude, and a juris doctorate from Thomas M. Cooley Law School, magna cum laude. He has passed Level 1 of the Chartered Financial Analyst (CFA) examination series.

Dan’s practice includes the representation of clients in litigation and arbitration involving the following types of claims:

• Negligence
• Breach of Contract
• Fraud
• Conversion
• Suitability
• Breach of Fiduciary Duty
• Excessive Concentration
• Selling Away
• Churning
• Reverse Churning
• Unauthorized Trading
• Ponzi Schemes
• Securities Fraud
• Violations of the Michigan Uniform Securities Act of 2002 (MUSA)
• Violations of the Securities and Exchange Act of 1934
• Class Actions
• Employment-Related Claims
• Breach of Non-Solicitation Agreement
• Breach of Non-Competition Agreement
• Misappropriation of Trade Secrets
• Violations of the Michigan Uniform Trade Secrets Act (MUTSA)
• Shareholder Oppression
• Fraudulent Transfers
• Violations of the Michigan Uniform Fraudulent Transfer Act (MUFTA)
• Bankruptcy Avoidance Claims
• Bankruptcy Nondischargeability Claims

Dan is active in the community and in the Grand Rapids Bar Association, where he serves on the Executive Committee of the Litigation Section. He has served on several nonprofit boards and is currently a member of the Emerging Leaders Advisory Council to the Special Olympics of Michigan. He was selected as a 2014 Up & Coming Lawyer by Michigan Lawyers Weekly.

Visit Dan's blog, Investment Matters, here.