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Daren A. Luma, PLLC represents individual investors who have been wronged by unscrupulous FINRA brokerage firms, RIAs and/or financial professionals. Such wrongdoing can take many forms and oftentimes the investor may not even be aware of what occurred. Sometimes investors are sold complex or “alternative” investments that they don’t understand and are not properly advised of the risks. Other times brokers recommend unsuitable, risky investments that are not appropriate for an individual investor's investment objectives or appetite for risk. In some cases, brokers act without even consulting their client or mislead an investor about a particular investment’s features or risks. Frequently, such improper conduct can cost clients all or part of hard-earned savings they have worked for years to accumulate.

If you think you may have been the victim of investment fraud, have a loss on an investment or just have questions related to one of your investments, Daren A. Luma, PLLC is the firm to contact for a free no-commitment evaluation. Daren A. Luma, PLLC is the ideal firm to represent individual investors in any type of investment-related claim against brokers and their firms, as we know the “ins and outs” of how brokerage and advisory firms work and how brokers and advisors are supposed to operate through our 22+ years of experience representing clients in these types of disputes before the Financial Regulatory Authority (FINRA) and other dispute resolution forums, as well as in courts nationwide. We have experience dealing with the broad range of claims that arise to the level of broker misconduct including:

  • Fraud

  • Misrepresentation

  • Ponzi Schemes

  • Inducement to Retire/Poor Retirement Advice

  • Senior Fraud/Elder Abuse Claims

  • Complex Investments such as REITS, Leveraged ETFs and Structured Products

  • Alternative Investments

  • Unauthorized Trading

  • Breach of Fiduciary Duty

  • Unsuitable Investments

  • Churning

  • Overconcentration

  • Variable Annuity Fraud

  • Failure to Supervise


Our attorneys understand the financial and emotional ramifications of investment fraud and broker misconduct, as well as the stresses it causes to individuals and their families. We will work to recover any losses or other damages that you may have suffered. Please contact us immediately at (914) 304-4051 or for a free consultation if you think you may have been a victim of investment fraud or have other questions regarding potential investment claims.

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