Attorneys
Daniel Viola
Partner
As a member of the firm’s Regulatory Defense and Compliance Group, Daniel G. Viola structures and organizes broker-dealers and investment advisers, and regularly counsels investment professionals in connection with regulatory matters.
Mr. Viola previously served as a senior compliance examiner for the Northeast Region of the SEC. During his tenure at the SEC, Mr. Viola worked on several compliance inspection projects involving compliance examinations of registered investment advisers to ensure compliance with the Investment Advisers Act, the Investment Company Act, the Securities Act, and the Securities Exchange Act. Mr. Viola's examination experience includes reviewing:
- Financial statements
- Performance advertising
- Disclosure documents
- Investment adviser and hedge fund issues arising under ERISA and blue-sky laws.
After leaving the SEC, Mr. Viola founded VIOCO, Ltd., which provided consulting services to registered investment advisers and broker-dealers in the field of regulatory compliance, including compliance policy planning and implementation of soft dollar reviews, mock SEC compliance audits, and compliance training for supervisory personnel. VIOCO served as a consultant to provide mandated corrective consulting to investment advisers that were sanctioned by the SEC.
From 1997 to 2002, Mr. Viola served as general counsel for Andover Brokerage LLC, which was ultimately acquired by SunGard (NYSE:SDS). Andover was a self-clearing member firm of the FINRA and a trading/technology firm that provided direct-access trading, order routing, and brokerage and clearing services to the professional investor community.
Prior to joining Sadis & Goldberg, Mr. Viola was general counsel to the Carlin Financial Group. Mr. Viola directly monitored all litigation and arbitration matters for Carlin and its related entities, including Generic Trading of Philadelphia LLC, a proprietary trading broker-dealer registered with the Philadelphia Stock Exchange.
Education
- St. John's School of Law (J.D. 1996); St. John's University (B.S. in finance 1992)
Admitted
Publications
- “Congressional Hearings Concerning Hedge Funds and Derivatives: A Regulatory Perspective for Hedge Funds,” 2 The Investment Lawyer No. 5, May/June 1995
- Compliance columns for various BD/RIA Investment industry client publications
Other distinctions
- Former member of the SIA
- FINRA arbitrator
- Has obtained several brokerage licenses, including the Series 4, 7, 24, 55, 63 and 65.
- Cambridge Who’s Who Among Executives and Professionals “Honors Edition,” 2008-2009