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BIG LAW EXPERIENCE, SMALL LAW ATTENTION

SECURITIES

Ms. La Barbera began her legal career as an attorney with the SEC’s Division of Market Regulation, now known as Trading and Markets, in Washington, D.C.  In that position, she focused on the SEC’s financial, operational and risk management rules governing broker-dealers, including broker-dealerbooks and records, net capital and customer protection rules.  Ms. La Barbera worked closely with Self-Regulatory Organizations, the Securities Investors Protection Corporation (SIPC), and a variety of market participants in interpreting and administering various SEC rules as well as internal rules of those organizations.  While at the SEC, Ms. La Barbera trained SEC examiners (OCIE) on the SEC’s financial responsibility rules and SRO suitability rules.


In private practice, Ms. La Barbera has represented and defended securities firms in regulatory inquiries, examinations and enforcement proceedings, as well as in private customer disputes, litigation and arbitration proceedings.  Ms. La Barbera also has assisted investment advisers to mutual funds and hedge funds with regulatory compliance matters, including providing legal opinions and conducting internal investigations.

SERVING CLIENTS WITH RESPECT

We first began working with Deana in 2005 for some small corporate matters. Since then, she has become an invaluable resource for both business and personal matters. Not only has our corporation been running smoothly under her guidance, but she has been a safety net for all our personal family matters as well. She has assisted multiple generations in our extended family through estate planning and has guided us through personal legal issues. She is truly a well-rounded resource whom we turn to and rely upon for all of life’s twists and turns.

— JOHN & DOMINIQUE M., CEO, CFO and Everyday People

Deana A. La Barbera Law

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Contact Us

Woodland Hills, CA

(818) 456-4547

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