Compliance Officer | Securities and M&A senior counsel
Carlos Lane provides guidance to the principals of DanaShift in matters relating to securities licensing and compliance at both the federal and state level. In addition to having a legal practice advising boutique M&A firms, Mr. Lane is the Chief Compliance Officer of Ceiba Financial, a U.S. broker-dealer registered with FINRA and the Securities and Exchange Commission that focuses on M&A and private placements. Through DanaShift's relationship with Ceiba Financial and the licensing of its principals, DanaShift's bankers are able to provide a variety of financial services to their clients on par with larger U.S. middle-market investment banking firms.
Carlos began his career in Washington, D.C., as in-house counsel for a boutique investment banking firm focused on cross-border M&A with Europe. He eventually became General Counsel, assuming supervision responsibilities over all litigation, securities compliance, and corporate law matters. In 2019, Carlos founded Ceiba Financial, which today provides securities licensing, compliance, and supervision services to boutique investment banking firms nationwide.
Carlos obtained his B.A. in Political Science from UCLA and his J.D. from The George Washington University. He is licensed to practice law in Florida and the District of Columbia. He is fluent in Spanish and Portuguese.