Case Study

Derivatives

Our Derivatives practice group has assisted both buy-side and sell-side clients in a variety of their Derivatives needs. Our Derivatives Practice group brings the perfect balance of the expertise of an AM100 law firm with the cost savings flexibility of an Alternative Legal Service Provider.

Estate Planning

We understand that planning for the future can be troubling. However, it is an important task that can give you and your family security and peace of mind. Our estate planning attorneys are here to help you navigate the process. We have extensive experience in this area of law and can draft, review, and amend comprehensive estate plans to meet your unique needs.

Financial Professionals

Representing financial professionals, we offer strategic legal guidance and representation in various legal matters involving FINRA or the SEC, including investigations and on-the-record (OTR) interviews.

FINRA 8210 Requests and On-The-Record Interviews

Our firm assists financial professionals in responding to FINRA 8210 requests and preparing for on-the-record (OTR) interviews. With extensive experience participating in numerous OTRs both as defense counsel and as a former Senior Counsel for FINRA’s Department of Enforcement, we provide invaluable insight and advocacy to protect clients’ interests and navigate regulatory scrutiny effectively.

FINRA Regulatory Investigations

Our firm represents financial professionals and firms in FINRA regulatory investigations, leveraging deep industry knowledge to navigate inquiries, defend against allegations, and protect careers and reputations. We offer skilled legal counsel, representation, and strategic advocacy to achieve the best possible outcomes.

Litigations

With extensive experience in litigation, we provide dedicated and effective representation for our clients in legal disputes involving securities.

Regulatory Matters

We offer comprehensive legal counsel in SEC and FINRA regulatory matters and investigations, ensuring compliance and protection for our clients.

Client Reviews

I assisted my parents in hiring Daniel for a securities case in which my father was taken advantage of. Given the nature of the case, we were very cautious before hiring an attorney. We found Daniel to be extremely honest and upfront from the first phone call until the last. He was very patient and...

Ira P.

Daniel D’Costa carefully reviewed all documents and offered helpful and tactful advice. Daniel was incredibly responsive and very thorough. I feel confident signing anything that D’Costa Law P.C. has reviewed on my behalf.

Allison C.

I had the opportunity to work with Daniel D’Costa, of D’Costa Law, P.C. I very much appreciated and respected Mr. D’Costa’s professional approach while working to recover an investment that had totally lost its value. Mr. D’Costa kept me apprised throughout the process and worked to recover a...

D. Halstead

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