Daniel J. O'Neill
Associate

Mr. O'Neill is an experienced litigator who focuses on complex commercial litigation and regulatory investigations. He has defended institutional and individual clients in a broad range of civil litigations, including securities litigation, corporate derivative actions, and antitrust litigation. He has also represented corporations, professional firms, and their officers and employees in numerous investigations by the Department of Justice, the Securities and Exchange Commission, the Financial Industry Regulatory Authority, and state regulators.

Prior to joining Shapiro, Arato & Isserles LLP in July 2011, Mr. O'Neill worked at Davis Polk & Wardwell LLP. Mr. O'Neill also served a six-month term as a Special Assistant District Attorney for the Kings County District Attorney's Office, where he tried three felony cases and one misdemeanor case to verdict. Mr. O’Neill clerked for the Hon. William H. Pauley III of the United States District Court for the Southern District of New York.

Representative matters:

• Represented a mid-sized broker-dealer in a FINRA investigation regarding the sale of structured products. FINRA concluded its investigation by accepting a Letter of Acceptance, Waiver and Consent in lieu of disciplinary action.
• Represented a Big Four accounting firm in numerous criminal and regulatory investigations regarding allegations of securities fraud. All matters were resolved without criminal charges or regulatory action being brought against the client.
• Represented ABN AMRO Holdings, N.V. in a derivative action brought in the Southern District of New York. Plaintiffs withdrew all claims before defendants filed their motions to dismiss.
• Represented Comcast Corporation in connection with various regulatory matters involving the Department of Justice and the Federal Communications Commission.
• Defended JP Morgan Chase & Co. in an antitrust lawsuit brought in the Western District of Wisconsin regarding its trading in copper derivatives. The matter settled just prior to trial.
• Represented the Legal Aid Society in litigation challenging the City of New York's allocation of cases and associated funding to indigent criminal defense providers. Intervened as a defendant in and, together with other defendants, obtained dismissal of an action brought in New York State Supreme Court.