Daniel G. Viola

Daniel G. Viola oversees the firm’s Compliance Group. He 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 Regional Office of the U.S. Securities & Exchange Commission (the “SEC”). During his tenure at the SEC, he worked on several compliance inspection projects involving compliance examinations of registered investment advisers to ensure compliance with the Investment Advisers Act of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and the Securities Exchange Act of 1934. Mr. Viola's examination experience includes reviewing financial statements, performance advertising, disclosure documents, and 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 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 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.
Prior to joining Sadis & Goldberg, Mr. Viola was general counsel to the Carlin Financial Group (“Carlin”). Mr. Viola directly monitored all litigation, arbitration and compliance matters for Carlin and its related entities, including Generic Trading of Philadelphia LLC, a proprietary trading broker-dealer registered with the Philadelphia Stock Exchange, currently known as NASDAQ OMX.