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Daniel G. Viola

Attorney Profile

Top Rated Securities & Corporate Finance Attorney in New York, NY

Sadis & Goldberg LLP
551 5th Avenue, 21st Floor
New York, NY 10176
Phone: 212-947-3793
Fax: 212-947-3796
Selected to Super Lawyers: 2020 - 2021
Licensed in New York Since: 1999
Practice Areas: Securities & Corporate Finance
Attorney Profile

A partner at Sadis & Goldberg LLP, Daniel G. Viola represents clients in New York in matters of regulatory compliance. Within his practice, he organizes and structures investment advisers and broker-dealers and counsels in corporate and regulatory matters for investment professionals. Head of the Regulatory and Compliance Group at the firm, he formerly worked for the Securities and Exchange Commission’s Northeast Regional Office as a Senior Compliance Examiner.

Admitted to practice in the state of New York, Mr. Viola attended St. John’s University, where he earned his Bachelor of Science in 1992. He then moved on to law school at St. John’s School of Law where he earned his Juris Doctor in 1996. Currently he has several brokerage licenses, including the following: Series 4, Series 7, Series 24, Series 55, Series 63 and Series 65.

Mr. Viola served for several years as general counsel for a large brokerage firm and as general counsel to the Carlin Financial Group. He is currently a member of the Hedge Fund Association, a Financial Industry Regulatory Authority arbitrator and a former member of the SIA Securities Corporation. In 2008, he was included in the Honors Edition of Cambridge’s Who’s Who Among Executives and Professionals.

Over the last two decades, Mr. Viola has gained experience in performance advertising, financial statements, disclosure document reviews, hedge fund issues under ERISA, analysis of investment adviser, and blue-sky laws. He previously founded a company that provided consulting services in mock SEC compliance audits, implementation of soft dollar reviews and compliance policy planning.

Practice Areas
  • 100%Securities & Corporate Finance
Focus Areas

Securities Law

Selections

2 Years Super Lawyers
  • Super Lawyers: 2020 - 2021

About Daniel G. Viola

First Admitted: 1999, New York

Professional Webpage: https://www.sadis.com/attorneys/daniel-g-viola

Honors/Awards

  • NY Metro Super Lawyers, 2020 
  • Cambridge Who’s Who Among Executives and Professionals “Honors Edition,” 2008-2009 

Scholarly Lectures/Writings

  • SEC Releases 2020 Regulatory and Exam Priorities Letter, Jan 14, 2020
  • SEC and FINRA Issue Joint Statement on Custody Issues of Digital Assets, Jul 15, 2019
  • Sadis Wins Hedgeweek US Awards 2019 “Best Law Firm”, Oct 11, 2019
  • Steven Eisman to Participate in Fireside Chat at Sadis & Goldberg’s 12th Annual Alternative Investment Management Seminar, Oct 30, 2019
  • 2020 FINRA Renewals Deadline Approaching, Nov 7, 2019
  • SEC Proposes Amendments to the “Accredited Investor” Definition, Dec 20, 2019
  • Broker-Dealer and Investment Adviser Regulatory Compliance:  SEC Issues Two OCIE Risk Alerts Indicating Examination Focus on Reg BI and Form CRS Compliance, Apr 10, 2020
  • FINRA Publishes 2020 Risk Monitoring and Examination Priorities Letter, Jan 14, 2020
  • Upcoming Compliance Date - February 14 Deadline, Feb 5, 2020
  • ALERT: COVID-19 and Business Continuity Planning, Mar 10, 2020
  • ALERT: SEC Order Grants Temporary Relief for Investment Advisers From Certain Form ADV and Form PF Filing Obligations Due to COVID-19 Disruptions, Mar 16, 2020
  • COVID-19 Regulatory Alert: SEC Issues New FAQs for Form ADV and Custody Rule Related to COVID-19 Outbreak, Mar 18, 2020
  • COVID-19 Regulatory Alert:  The Coronavirus Aid, Relief, and Economic Security Act (“CARES Act”) Signed into Law, Mar 30, 2020
  • COVID-19 Regulatory Alert: CARES Act Update, Apr 3, 2020
  • COVID-19 Regulatory Alert - CARES Act Update: SBA Issues Additional New Guidance, Including that Private Equity and Hedge Fund Managers Are No Longer Eligible for PPP Loans, Apr 26, 2020
  • COVID-19 Regulatory Alert: CARES Act Update—SBA Issues Additional Guidance Regarding Paycheck Protection Program Loans for Partnerships and LLCs, Apr 16, 2020
  • Broker-Dealer and Investment Adviser Regulatory Matters: Form CRS (Form ADV Part 3) Compliance Deadline Fast Approaching, Apr 23, 2020
  • Pandemic Prompts Jump in SEC Monitoring, Aug 10, 2020
  • SBA Extends PPP Loan Safe Harbor Repayment Date to May 14, 2020
  • SEC Alert: SEC Charges Private Equity Manager with Conflicted Expense Reimbursements, May 8, 2020
  • New SBA Safe Harbor Guidance Regarding PPP Loan Good Faith Certification of Necessity, May 13, 2020
  • SBA Releases PPP Loan Forgiveness Application and Instructions, May 19, 2020
  • Third Quarter Compliance Deadlines, Jun 5, 2020
  • Additional Guidance Released Regarding TALF 2.0 Eligibility for Private Investment Funds, Jun 11, 2020

Bar/Professional Activity

  • Hedge Fund Association Ltd., 2013 
  • FINRA Arbitrator 
  • Former member of the SIA 
  • New York 

Educational Background

  • St. John’s University, B.S. 1992 
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Office Location for Daniel G. Viola

551 5th Avenue
21st Floor
New York, NY 10176

Phone: 212-947-3793

Fax: 212-947-3796

Last Updated: 8/27/2020

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