Financial Industry Litigation, Arbitration and Regulatory Attorneys
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  • Accomplished. Experienced. Knowledgeable.

  • New York securities attorney with more than 20 years of experience

  • Accomplished. Experienced. Knowledgeable.

Established Financial Industry Litigation, Arbitration and Regulatory Lawyer

Aggressive attorney represents investors, financial professionals and financial firms

Daren A. Luma, PLLC, is a Nationwide practice that provides skillful advice and advocacy on a full array of financial industry matters. I draw on more than 18 years of experience to give clients comprehensive counsel that combines extensive legal knowledge and practical know-how.  As an adviser and litigator, I have helped investors, broker-dealers, hedge funds, private equity firms and major financial institutions overcome obstacles and secure favorable outcomes. Whether you’re a person who’s been misled by their financial adviser or a bank grappling with an SEC action, my firm will work tenaciously to safeguard your interests and accomplish your objectives.

Knowledgeable financial industry attorney provides comprehensive support during disputes

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.

Starting with a free initial consultation, I will focus on securing an outcome that serves as a complete solution to whatever challenge you have.

Responsive advocate handles arbitrations, regulatory actions and lawsuits

My firm represents clients in a wide array of securities law matters, including:

  • FINRA arbitration — with over 18 years of experience handling FINRA arbitrations, I have a detailed understanding of the FINRA rules and process and know many of the other professionals in this field.  My experience gives me a leg up in anticipating the tactics and arguments that opposing counsel will use. Whether the dispute relates to allegations of churning, misappropriated funds or other types of misconduct, I’ll press for a favorable result.
  • FINRA/SEC Regulatory actions — My firm delivers forceful representation during FINRA or SEC enforcement actions from the inquiry state, through administrative proceedings or in federal court. I quickly assess the merits of the potential case and my detailed knowledge and experience assist me in crafting a strategy that allows clients to get the most favorable result and outcome.
  • Individual investors — As a seasoned litigator with experience in all aspects of securities law, I help individual investors assert their rights when they’ve been victimized by fraud, fiduciary breaches and other types of financial misconduct.
  • Financial professionals — If you’re a financial professional involved in an employment dispute, FINRA proceeding or another legal matter related to your work, my firm will help you evaluate your options and vigorously pursue a fair result.
  • Financial institutions — For close to two decades, I have represented financial institutions of all sizes in matters arising from customer complaints, regulatory actions, internal investigations and various other legal issues that have arisen.

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

Contact a proven financial industry litigation, arbitration and regulatory lawyer for a free initial consultation

Daren A. Luma, PLLC advises clients Nationwide on a complete range of issues involving the financial industry. Please call 914-304-4051 or contact me online to schedule a free initial consultation.