Securities and FINRA

Our team has handled a range of matters involving financial advisors, registered representatives, broker-dealers, and other financial institutions in a variety of customer and industry disputes. These disputes may arise in state and federal trial and appellate courts as well as in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). Our attorneys have guided and defended broker-dealers and their financial advisors in cases brought by customers alleging violations of securities laws, fraud, breach of fiduciary duty, and violations of the rules of FINRA. We have a deep understanding of disputes involving allegations of wrongful termination, U-5 defamation, breach of contract, and intentional interference with contracts. We have represented clients in temporary restraining order (TRO) hearings in state court and subsequent arbitration proceedings regarding issues related to departing brokers.

Robinson Gray also represents registered representatives and financial professionals in investigations and proceedings initiated by FINRA’s Department of Enforcement and the Securities Division of the South Carolina Attorney General’s office. We have experience responding to Wells notices, requests for on-the-record interviews, and inquiries from state and federal agencies.

Representative Matters

Represented financial advisers and financial investment companies as well as financial consumers in disputes before FINRA.
Represented financial advisors and broker dealers in customer disputes in both state court and the FINRA arbitration forum.
Represented financial advisors and broker dealers through investigations by FINRA and the South Carolina Attorney General’s Securities Division.