Daren A. Luma, PLLC is a specialized litigation and regulatory law firm that represents select brokerage firms, registered investment advisors and other financial institutions in litigation, arbitration and regulatory matters.
Our attorneys have worked at and represented many of the largest financial services firms for over 17 years. We have extensive experience in handling a wide array of matters for financial institutions including:
- Customer complaints and arbitrations
- FINRA, SEC and other regulatory inquiries, investigations and enforcement actions
- Internal investigations
- Review and drafting of internal policies and procedures
- Subpoena and third-party process responses
If your financial firm has a customer or employee dispute, is the subject of an actual or potential regulatory inquiry or investigation or had any other potential situation that requires knowledgeable and experienced financial industry counsel, please contact us.