FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Daniel J. O’Neill (CRD No. 1358245), Respondent. DISCIPLINARY PROCEEDING NO. 2021070337301 Hearing Officer — RES ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 6, 2021 INTRODUCTION Disciplinary Proceeding No. 2021070337301 was filed on July 29, 2021, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Daniel J. O’Neill submitted an Offer