Profile
For over 25 years, John Lukanski has worked on a nationwide basis with his broker-dealer, investment adviser, and other wealth management clients to support their business needs and handle their challenging and complex matters. These matters have included internal investigations, regulatory investigations by the SEC, FINRA and state regulators, and litigation and FINRA arbitrations. He also has provided compliance and regulatory counseling to his clients, and helped his clients work through FINRA Rule 4530 and U4/U5 disclosure issues.
In addition, large financial institutions, such as deposit and commercial banks and trust companies, have sought John’s services in the courts, to defend their interests in high-stakes litigation. These matters have included defending allegations of fraud, fiduciary liability, breach of contract, and business-related torts. John also has handled many cases in both federal and state courts involving restrictive covenants.
Concentrations
- John seeks to handle internal investigations with efficiency and precision, aiming to put his clients in the best possible position to make strategic decisions.
- In regulatory investigations, John aims to help his clients meet their obligations while at the same time being a true advocate for his clients.
- In litigation, John is relentless but strategic and practical.
The attorney is providing legal services through and affiliated with Greenberg Traurig, LLP, a New York Limited Liability Partnership. Prior results do not guarantee a similar outcome.
Capabilities
Experience
- 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 and its related broker-dealer in parallel SEC and 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 and 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 and the payment of phantom dividends.°
- Represented a broker-dealer in an internal review and related FINRA enforcement, state, and U.S. attorney investigations into a multiyear Ponzi scheme.°
- Represented a trust department and its related broker-dealer in parallel FINRA enforcement and U.S. attorney investigations into the misappropriation of funds from retirement accounts.°
- Represented a broker-dealer in parallel FINRA and U.S. attorney investigations into an alleged unauthorized currency exchange and money laundering of foreign currency.°
- Represented a broker-dealer in parallel FINRA and state investigations into unauthorized trading and investments made with the proceeds of non-purpose loans.°
- Represented a broker-dealer in various FINRA enforcement investigations involving structured notes, exchange traded funds and foreign currency transactions.°
- Represented a broker-dealer in various FINRA enforcement investigations involving the creation of false performance reports, unapproved sales literature, advertising issues, and 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 and 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 and related litigations involving sales practice related claims by customers.°
- Represented broker-dealers, private banks, and commercial banks nationwide in recruiting disputes, including applications for injunctive relief and arbitrations, and related employment claims and 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 and 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, and European regulatory requirements and restrictions for sharing investment opportunities.°
°The above representations were handled by Mr. Lukanski prior to his joining Greenberg Traurig, LLP.
- The White House, 1994 and 1996
- Intern, Office of the Special Counsel to the President, 1996
- Intern, Office of the Executive Clerk to the President, 1994
Credentials
Education
- J.D., Vanderbilt University School of Law, 1998
- B.S., magna cum laude, Seton Hall University, 1995
Admissions
- New Jersey
- New York
- U.S. District Court for the District of New Jersey
- U.S. District Court for the Eastern District of New York
- U.S. District Court for the Southern District of New York
- U.S. District Court for the Eastern District of Michigan
- U.S. Court of Appeals for the Second Circuit
- U.S. Court of Appeals for the Third Circuit