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Financial Industry Attorney

Specializing in Litigation, Arbitration and Regulatory Matters.






We represent individual investors who have been wronged by unscrupulous brokerage firms, RIAs and/or financial professionals.



Our firm represents industry professionals for FINRA or SEC enforcement actions from the inquiry state, through administrative proceedings or in federal court. 


Our firm represents financial industry professionals in disputes or in need of counsel for matters involving their employment.


Experienced, Focused Financial Industry Attorney 

Established Financial Industry Litigation, Arbitration and Regulatory Lawyer

Daren A. Luma, PLLC, is a Nationwide practice that provides skillful advice and advocacy on a full array of financial industry matters. We draw on more than 22 years of experience to give clients comprehensive counsel that combines extensive legal knowledge and practical know-how.  As an adviser and litigator, we have helped investors, broker-dealers, hedge funds, private equity firms and major financial institutions overcome obstacles and secure favorable outcomes for 20 years.

Knowledgeable financial industry attorney That provides Comprehensive Support

The outcome of a financial industry matter can change the course of your life or your business. With so much on the line, you need an attorney with a:

  • Strong reputation — Over two decades of practice specialized in the financial industry, I’ve achieved successful results in a wide variety of legal forums. My ability to process complex concepts and provide effective advocacy has earned numerous recommendations from clients and colleagues.

  • Individualized attention — At my firm, unlike some securities litigation firms, you can trust that your case will be handled from start to finish by a qualified attorney instead of being handed off to a lower-level associate without the requisite knowledge or experience.

  • Strategic counsel — With experience in government, in house counsel within a large brokerage firm, and private practice, I offer clients a comprehensive perspective on their securities issue. From there, my firm develops a solid plan to achieve their goals.

No matter what your legal challenge entails, we are committed to protecting your rights and obtaining a just resolution.


Contact a proven financial industry litigation, arbitration and regulatory lawyer today by calling us  at 914-304-4051 or contact us online to schedule a free initial consultation.

Daren A. Luma
Managing Partner

Tel: (914) 304-4051



75 South Broadway, Suite 400, White Plains, NY 10601

Tel:  (914) 304-4051


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