Dan Rosenbaum

Associate General Counsel, UBS Financial Services

Dan Rosenbaum is an Executive Director and Counsel for UBS AG. Since 2014, Dan has been Head of the Special Review Group, a team that conducts internal investigations relating primarily to sales practice violations and other conduct risk concerns involving the retail broker-dealer. In that capacity, Dan is regularly involved in disciplinary decisions, regulatory filings and inquiries, HR matters, and Compliance issues arising from investigations. Dan joined UBS in 2004, and before running Special Review was a senior litigation attorney. Prior to joining UBS, Dan was associated with major law firms in Chicago and New York, and specialized in financial industry litigation, including retail brokerage arbitrations. Dan also clerked for Judge Suzanne Conlon of the U.S. District Court, N.D. Ill. Dan is a 1992 graduate of the University of Chicago Law School, where he was a member of the Law Review, and a 1987 graduate of the University of Pennsylvania.