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Daniel G. Viola

Partner

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Daniel G. Viola is the Head of the Regulatory and Compliance Group.  He structures and organizes broker-dealers, investment advisers, funds and regularly counsels investment professionals in connection with regulatory and corporate matters.  Mr. Viola served as a Senior Compliance Examiner for the Northeast Regional Office of the SEC, where he worked from 1992 through 1996. During his tenure at the SEC, Mr. Viola worked on several compliance inspection projects and enforcement actions involving examinations of registered investment advisers, ensuring compliance with federal and state securities laws. Mr. Viola’s examination experience includes financial statement, performance advertising, and disclosure document reviews, as well as, analysis of investment adviser and hedge fund issues arising under ERISA and blue-sky laws.

After leaving the SEC, Mr. Viola founded VIOCO, Ltd. (“VIOCO”), which provided consulting services to 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 also 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 NASD, currently known as FINRA and a trading/technology firm that provided direct-access trading, order routing, and brokerage and clearing services to the professional traders. From 2002 to early 2006, Mr. Viola served as the General Counsel to the Carlin Financial Group, which was ultimately acquired by RBC Capital Markets, LLC. Mr.  Viola then founded his own law firm and eventually merged it into Sadis & Goldberg’s law practice in late 2006.

Education

  • St. John’s School of Law (J.D. 1996)
  • St. John’s University (B.S. 1992)

Admitted

  • New York

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

Memberships and Affiliations

  • Former member of the SIA
  • FINRA arbitrator
  • Hedge Fund Association Ltd. 2013

Honors and Awards

  • Cambridge Who’s Who Among Executives and Professionals “Honors Edition,” 2008-2009

Other distinctions

  • Mr. Viola has also obtained several brokerage licenses, including Series 4, 7, 24, 55, 63 and 65.

Practice Areas

Regulatory Compliance





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