William Mitchell College of Law, J.D., 2006, Magna Cum Laude
University of Minnesota, B.A., 2003, Magna Cum Laude
Bar & Court Admissions
- U.S. District Court District of Minnesota
- U.S. Court of Appeals 2nd Circuit
- U.S. Court of Appeals 8th Circuit
Dan Supalla is a member of the firm’s Financial Markets Group and the Appellate Practice Group. He practices principally in the areas of:
- Securities and financial services litigation
- State and federal appeals
- Business and employment litigation
Securities and Financial Services Representation
Dan primarily represents broker-dealers involved in arbitrated and litigated disputes with customers, registered representatives and other broker-dealers. His recent experience includes having primary responsibility for all pre-trial proceedings and coordinating discovery in 250+ arbitrations, state litigation, federal class-action litigation and bankruptcy litigation arising out one of the nation’s largest Ponzi schemes. Dan also works closely with other members of the Financial Markets Group to represent broker dealers and financial advisors in regulatory investigations and examinations.
In his securities litigation practice, Dan represents publicly traded companies, their officers, and directors in class actions alleging securities fraud and other violations of federal securities laws. Most recently, Dan has successfully defended a company and its director against an insider trading claim under Section 16(b).
Dan regularly represents insurers in disputes with customers, former salespersons. For example, he has defended an insurer and obtained summary judgment on a former salesperson’s claim of unlawful termination, which allowed the insurer to recover unearned commissions it had paid to its former salesperson. Dan also assists in representing insurers in class action lawsuits concerning allegations of unlawful sales practices of life insurance produces and in raiding cases.
In addition to his securities litigation practice, Dan maintains an active appellate practice that includes representing individuals and businesses in appeals to state and federal courts of appeal. In the Minnesota Supreme Court Dan has sought review on a wide variety of issues including class action settlement approval, contract claims and interpretation, property-rights issues and employment issues. Appellate practice experience has included representing:
- executives involved in federal-securities litigation to answer questions certified to the Minnesota Supreme Court regarding the special litigation committees’ authority and the fairness of class-action settlements;
- automobile dealerships in the interpretation of limitations of damages clauses in software contracts;
- farmers and ranchers raising constitutional due process claims to protect their right to appropriate water for irrigation and livestock.
Combining his appellate practice and pro bono work, Dan has briefed and argued cases before the Minnesota Court of Appeals regarding the application of state predatory offender registration laws, and in January 2011, Dan argued a case before the Minnesota Supreme Court, which dealt with an accused’s Sixth Amendment right to the assistance of counsel to present closing arguments in criminal bench trials.
Business and Employment Litigation
Dan also represents a broad array of clients in litigation matters before state and federal courts and state equal employment agencies. Dan’s representative experience includes:
- representing national banks in disputes with consumers over mortgage lending practices and in residential mortgage backed securities cases arising out of the financial crisis;
- defending employers against terminated employees’ allegations of unlawful discrimination or sexual harassment before state agencies;
- representing an employer against former employee’s allegations of age discrimination in the Eighth Circuit Court of Appeals and obtaining an affirmance of a district court order dismissing the former employee’s claim;
- representing a Minnesota county in property-tax litigation in federal court that raised issues of 11th Amendment immunity, availability of tax refunds, and questions of federal exemptions from state taxes.
Dan stays abreast of topics in the securities arena and other developments in the law by writing on current events. He co-authored a white paper entitled “The Efficacy of Securities Arbitration and Proposals for Change,” which was cited by the Wall Street Journal in an article discussing proposals to eliminate mandatory arbitration. In addition, Dan co-authored an article in the William Mitchell Law Review entitled “Standard of Proof to Establish Amount in Controversy When Defending Removal Under the Class Action Fairness Act,” which was recently cited by the Ninth Circuit Court of Appeals.
While in law school, Dan served as a staff member and assistant editor of the William Mitchell Law Review. Dan also received awards for best brief and won the oral argument in the Rosalie Wahl Moot Court competition, and in 2005 he represented William Mitchell in the New York Bar Association’s National Moot Court Competition.
Honors & Awards
- Minnesota Rising Star, Minnesota Super Lawyers
- Rising Star, Minnesota Super Lawyers
Minnesota State Bar Association, Member
Minnesota Lavender Bar Association, Member
Hennepin County Bar Association, Member
Federal Bar Association, Member
- June 18, 2014
- May 2, 2014
- October 16, 2012
- September 14, 2012
- October 6, 2011
- July 18, 2011
- July 18, 2011
- April 7, 2011
- November 24, 2009
- May 29, 2014
- Graves 601 Hotel 601 1st Avenue North Minneapolis, MN 55403, June 14, 2013
- "Discovery in Arbitration Proceedings," Presenter, Minnesota CLE, Winning Discovery: Successful Strategies, Processes and Best PracticesNovember 2012
- May 2, 2014
- June 28, 2013
- "Detection & Prevention of Selling Away: Supervisory Practices & Challenges," Co-Author, NSCP CurrentsJune 2013
- June 26, 2013
- Alert: Minnesota Adopts NAIC Model Rules on Suitability of Annuity Transactions, to be Effective June 1, 2013May 23, 2013
- March 8, 2013
- January 29, 2013
- May 26, 2011
- February 25, 2011
- "Harmonizing Broker-Dealer and Investment Adviser Supervision Around a Unified Fiduciary Standard of Conduct," Co-Author, American Bar Association's Securities Litigation Journal2011
- August 26, 2010
- "Standard of Proof to Establish Amount in Controversy When Defending Removal Under the Class Action Fairness Act," Co-Author, William Mitchell Law ReviewAugust 2010
- April 27, 2010
- "Specimen Oral Argument: Sexual Harassment, Frieler v. Carlson Marketing Group," Co-Author, Art of Advocacy: AppealsAugust 2008
- May 5, 2008
- "A New Priority for E-Discovery: Early Collaboration, Identification, Preservation and Documentation," White Paper, Reprinted by Lorman Education ServicesJuly 2007