Daniel J. O’Neill

Dan O’Neill represents individuals and institutions in a wide range of criminal, regulatory, and civil matters. An experienced litigator, Dan has appeared in federal and state courts across the country, including the Supreme Court of the United States.

In his criminal and regulatory practice, Dan represents clients in government investigations, prosecutions, and enforcement proceedings involving the federal securities laws, insider trading, fraud, regulatory violations, and other areas. He also has a substantial criminal appellate practice and has succeeded in obtaining numerous reversals, including in several significant insider trading and public corruption cases decided by the U.S. Court of Appeals for the Second Circuit.

In his civil practice, Dan regularly represents and advises clients on a broad range of matters, including on issues of contracts, corporate governance, intellectual property law, and trade secret law. He has represented both plaintiffs and defendants in complex business disputes and other litigation.

Dan has also conducted a number of internal investigations and compliance reviews commissioned by regulators or corporate boards of directors.

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

Representative Matters

Criminal and Regulatory Defense and Appeals

• Represented individual directors of publicly traded company in connection with federal criminal fraud investigation and trial of company’s CEO and outside counsel.
• Represented doctor in high-profile homicide trial in Syracuse, New York.
• Won Second Circuit reversal of conviction of former executive of Chinese construction company on forced labor charges.
• Representing former CEO of health care company in Second Circuit appeal of securities fraud conviction.
• Representing former hedge fund analyst in appeal of criminal conviction relating to alleged insider trading.  Obtained ruling from Supreme Court remanding case to Second Circuit for reconsideration in light of Kelly v. United States.
• Co-authored briefs in Second Circuit appeal of former New York Senate majority leader Dean Skelos, resulting in vacatur of his conviction on public corruption charges and remand for new trial.
• Co-counsel for petitioner in Salman v. United States, criminal insider trading case argued in the Supreme Court of the United States in October 2016.
• Won Second Circuit appeal reversing insider trading conviction of Anthony Chiasson in United States v. Newman.
• Represented several individuals in criminal prosecutions for bank fraud and public benefits fraud.

Complex Civil Litigation

• Authored amicus brief in D.C. Circuit appeal of SEC order concerning national securities exchange.
• Represented shareholder of closely held aviation company as plaintiff in derivative action in Commercial Division of New York County Supreme Court.  Successfully resolved matter before summary judgment.
• Represented Fortune 500 company in complex commercial dispute involving the divestiture of European business unit.
• Represented computer services provider in breach of contract and unjust enrichment action brought by former customer. Successfully resolved the action after our client counterclaimed.
• Obtained dismissal with prejudice in case of first impression regarding transfer of ownership and work-for-hire provisions of U.S. Copyright Act.
• Represented major record company in arbitration over payment of royalties.  Successfully resolved matter after extensive pre-hearing briefing.

Internal Investigations and Compliance

• Conducted internal investigation for board of privately held healthcare company regarding various workplace environment and gender discrimination issues.
• Conducted internal investigation for Audit Committee of publicly traded financial institution into whistleblower allegations of financial impropriety and provided recommendations for enhancing internal controls.
• Assisted partner Alexandra A.E. Shapiro as Independent Consultant retained by NYSE Euronext, pursuant to SEC Order, to conduct comprehensive review of market data delivery systems and associated policies, procedures and practices, regarding compliance with Rule 603(a) of Regulation NMS.
• Conducted internal investigation of major financial institution and presented recommendations for structural and process improvements.
• Conducted SEC-ordered review of national securities exchange for compliance with various securities laws and regulations.

Professional Activities and Honors

• Member, Federal Bar Council; member, Second Circuit Courts Committee (2020-present).
• Co-author, with Cynthia S. Arato, “A literary tale,” Intellectual Property Magazine, July/August 2019.
• Co-author, with Alexandra A.E. Shapiro, “Salman v. United States:  The Supreme Court Leaves More Questions About Insider Trading Law Than It Answers,” For the Defense, May 2017.