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.
Regulatory Representation You Can Trust
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.
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.
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.