
Securities and FINRA
Robinson Gray represents broker-dealers, registered representatives, and financial institutions in a broad range of customer and industry disputes, in state and federal trial and appellate courts, as well as in arbitration proceedings before the Financial Industry Regulatory Authority (FINRA). Our attorneys have defended broker-dealers in cases involving allegations of securities laws violations, fraud, U-5 defamation, wrongful termination, breach of contract, intentional interference, breach of fiduciary duty, and violations of the rules of FINRA. 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. We have experience responding to Wells notices, requests for on-the-record interviews, and inquiries from state and federal agencies.
Practice Team
From Our Blog
Robinson Gray recognized with South Carolina Bar’s Pro Bono Award
COLUMBIA, S.C. – Robinson Gray Stepp & Laffitte, LLC, has received the South Carolina Bar 2022 Pro Bono Award, reflecting the law firm’s service...
.: Read moreLa’Jessica Stringfellow installed as member of ABA House of Delegates
COLUMBIA, S.C. – La'Jessica Stringfellow, an associate with Robinson Gray law firm, has been named a South Carolina state bar delegate to the American...
.: Read moreNine at Robinson Gray named to SC Super Lawyers list, with two making Top Ten
COLUMBIA, S.C. – Robinson Gray is pleased to announce that nine of its attorneys have again been named 2022 South Carolina Super Lawyers®, with...
.: Read more
- Practice Areas
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