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Dan Viola

Partner at Seward & Kissel LLP/FINRA Arbitrator

Daniel G. Viola is a distinguished professional known for his expertise in regulatory defense and compliance, with a particular focus on broker-dealers and investment advisers. With a solid background at the US Securities and Exchange Commission (SEC) as a Senior Compliance Examiner, Mr. Viola gained valuable experience in compliance inspection projects and enforcement actions related to investment advisers, ensuring adherence to federal and state securities laws. His extensive examination experience encompasses various areas such as financial statements, performance advertising, disclosure documents, and analysis of investment adviser and hedge fund issues under ERISA and blue-sky laws.

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Dan Viola
Dan Viola, photo 1
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Location

New York, New York, United States