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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: 212-573-8038
Fax: 212-573-6663
Selected to Super Lawyers: 2020 - 2022
Licensed in New York Since: 1999
Practice Areas: Securities & Corporate Finance
Attorney Profile

Daniel G. Viola is a partner of Sadis & Goldberg LLP and 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. Daniel 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, Daniel worked on several compliance inspection projects and enforcement actions involving examinations of registered investment advisers, ensuring compliance with federal and state securities laws. Daniel’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. Daniel has been active in the Blockchain and Virtual Currency verticals since 2014. Daniel also received the “Super Lawyer” designation in June 2020.

After leaving the SEC, Daniel 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, Daniel 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 professional traders. From 2002 to early 2006, Daniel 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 and Goldberg’s law practice in late 2006.

Practice Areas
  • 100%Securities & Corporate Finance
Focus Areas

Securities Law

Selections

3 Years Super Lawyers
  • Super Lawyers: 2020 - 2022

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, Bachelor of Science, 1992
  • St John's School of Law (J.D.), 1996
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Office Location for Daniel G. Viola

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

Phone: 212-573-8038

Fax: 212-573-6663

Last Updated: 5/15/2022

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