
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
Bill Metzger receives ‘Crusty Crab Award’ from Meritas
COLUMBIA, SC – Bill Metzger, a member at Robinson Gray law firm, has received the Crusty Crab Award from Meritas, a global affiliation of...
.: Read moreCensus 2020 Questions
As the United States approaches the next decennial census, a legal firestorm has been ignited due to the Trump Administration’s desire to include a...
.: Read moreMeredith Ann Krzyston joins Robinson Gray as associate
COLUMBIA, SC – Meredith Ann Krzyston has joined Robinson Gray law firm as an associate, focusing on workers' compensation. Meredith Ann received her bachelor's degree...
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