D’Anna Harper’s practice is dedicated to counseling broker-dealers, investment advisers, and hedge funds with respect to regulatory reporting issues and litigation matters. She routinely advises clients on a variety of regulatory matters involving capital markets activities, sales practice issues, compliance and supervisory procedures, margin and capital requirements, as well as alternative investment offerings, marketing materials, and business product expansions.
D’Anna is a creative problem solver and her prior experience in the financial services industry, where she held FINRA Series 7 (General Securities), Series 55 (Equity Trader), and Series 63 (Securities Agent) securities licenses, has provided her with a unique insight into the challenges facing regulated firms and business-minded approach to resolving matters.
D’Anna received her undergraduate degree from Allegheny College in 2001 and graduated with honors from New York Law School in 2011 and has since focused her legal career on counseling financial services firms in connection with regulatory and compliance issues and litigation matters. She is admitted to practice in New York and New Jersey state courts and before the U.S. District Court, District of New Jersey.