FINRA/SEC REGULATORY MATTERS

FINRA and the SEC have enormous power when it comes to taking action against financial professionals. Whether you’re an investment advisor working on your own or a trader for a multinational investment bank, you need an accomplished advocate who is up to the challenge. At Daren A. Luma, PLLC, our clients benefit from an attorney with more than 20 years of experience in handling FINRA and SEC actions.  We offer tough, knowledgeable counsel for financial professionals involved in regulatory matters.

When you’re dealing with an SEC issue, there’s no time to hesitate: you can’t afford to wait for your attorney to get up to speed on the complex aspects of securities actions. My firm provides a free initial consultation so you can obtain immediate assistance from a highly qualified litigator on matters such as:

  • Failure to supervise claims — The parameters of supervision responsibilities can be difficult to discern. If you have questions in this area or are being targeted in this type of action, I’ll conduct a detailed review to identify evidence that suitable procedures were in place and that supervisors correctly discharged their duties.

  • Sales practices actions — Allegations of deceptive sales practices are often leveled without proper justification, particularly when an investment does not work out as the investor hoped. My firm handles cases involving accusations of misrepresentation, churning, and other sales practice allegations by aggressively challenging the claims and asserting all possible valid defenses.

  • Registration issues and regulatory discipline — If you are facing discipline based on a regulatory violation, I have experience helping individuals and firms effectively respond to FINRA/SEC allegations and maintain their ability to practice their profession.

 

For these issues and others, my firm delivers exceptional counsel and service to clients in every part of the financial industry.

Contact a skillful financial industry attorney for a free consultation on your FINRA/SEC Regulatory matter today at (914) 304-4051 or dluma@lumalegal.com.

Attorney Advertising.  This website is designed for general information only. The information presented at this site should not be construed to be formal legal advice nor the formation of a lawyer/client relationship.  Prior results do not guarantee a similiar outcome.
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