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Morgan, Lewis & Bockius LLP

Daniel Kleinman

Work 202 739 5143
Morgan, Lewis & Bockius LLP

Work Department

Investment Management


Daniel R. Kleinman is a partner in Morgan Lewis's Investment Management and Securities Industry Practice and a member of the ERISA Fiduciary Services Group. Mr. Kleinman's practice focuses on the fiduciary responsibilities provisions (Title I) of the Employee Retirement Income Security Act and the related tax, corporate and securities laws in connection with the structuring and marketing of investment products (including private equity and hedge funds) and financial services to employee benefit plans. He also handles issues with respect to the regulation of broker-dealers and investment advisers under federal and state securities laws. For more information, view Mr. Kleinman's biography at


Georgetown University Law Center, 2002, LL.M.; Pennsylvania State University, Dickinson School of Law, 1997, J.D.; New York University Stern School of Business, 1992, B.S.

United States: Finance

Structured finance: derivatives and structured products

Within: Structured finance: derivatives and structured products

Morgan, Lewis & Bockius LLP advises banks, asset managers and other market makers on a variety of regulatory flow matters, leveraged lending and trading activity, and also acts for corporate end-users in commodity and equity-linked derivative transactions. Of particular note, the team was involved in several equity forward deals in 2018. In one such example, Thomas D’Ambrosio advised Entergy Corporation on a public, underwritten offering of 15.3m shares of common stock, which is expected to yield over $1bn upon settlement of the forward transaction. D'Ambrosio also advises several prominent asset managers on margin regulations and associated insolvency issues. Washington DC-based Daniel Kleinman has advised clients on the enforceability of certain netting rights, while Michael Philipp in the Chicago office has advised financial institutions, foreign exchanges and clearing organizations on regulatory matters concerning exchange-traded and OTC derivatives. Boston-based Edwin Smith, who has experience of structured finance and bankruptcy, is another key contact.

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