Cases
Experience: Representative Matters: Represented a broker-dealer in investigations by multiple states regarding protections of at-risk customers including senior investors.: Represented a broker-dealer in a FINRA enforcement investigation into a firm's sale of equity IPO shares to restricted persons under FINRA Rule 5130.: Represented a private bank
its related broker-dealer in parallel SEC
U.S. attorney investigations into a firm's supervision of distributions from a loan facility secured by securities.: Represented a broker-dealer in an internal review
related FINRA enforcement investigation into manipulative order entry activity relating to Class B-share mutual funds.: Represented a broker-dealer in a FINRA Enforcement investigation into unauthorized trading related to options positions
the payment of phantom dividends.: Represented a broker-dealer in an internal review
related FINRA enforcement, state,
U.S. attorney investigations into a multiyear Ponzi scheme.: Represented a trust department
its related broker-dealer in parallel FINRA enforcement
U.S. attorney investigations into the misappropriation of funds from retirement accounts.: Represented a broker-dealer in parallel FINRA
U.S. attorney investigations into an alleged unauthorized currency exchange
money laundering of foreign currency.: Represented a broker-dealer in parallel FINRA
state investigations into unauthorized trading
investments made with the proceeds of non-purpose loans.: Represented a broker-dealer in various FINRA enforcement investigations involving structured notes, exchange traded funds
foreign currency transactions.: Represented a broker-dealer in various FINRA enforcement investigations involving the creation of false performance reports, unapproved sales literature, advertising issues,
unapproved third party research.: Represented a broker-dealer in an NASD Enforcement (now FINRA) investigation into variable annuity sales.: Represented an investment adviser with regard to its advisory practice
ADV disclosures.: Represented numerous associated persons in a FINRA Enforcement investigation into the sale of Unit Investment Trusts (UITs).: Represented a broker-dealer in multiple matters involving the use of fee-based brokerage accounts.: Represented broker-dealers nationwide in FINRA arbitrations
related litigations involving sales practice related claims by customers.: Represented broker-dealers, private banks,
commercial banks nationwide in recruiting disputes, including applications for injunctive relief
arbitrations,
related employment claims
promissory note disputes.: Represented a broker-dealer in an SEC investigation into insider trading.: Represented a broker-dealer in an investigation by the New Jersey Bureau of Securities related to sales of high-yield securities.: Represented a broker-dealer
its related national bank regarding revisions to their policies concerning activities of broker-dealer personnel in banking centers.: Represented an international investment adviser on compliance with U.S., UK,
European regulatory requirements
restrictions for sharing investment opportunities.
The above representations were h
led by Mr. Lukanski prior to his joining Greenberg Traurig, LLP.
Public Service: The White House, 1994
1996: Intern, Office of the Special Counsel to the President, 1996: Intern, Office of the Executive Clerk to the President, 1994
