
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’s Beth Burke Richardson named to receive Diversity & Inclusion Award
COLUMBIA, S.C. – South Carolina Lawyers Weekly has announced that Beth Burke Richardson, a member with Robinson Gray law firm, has been chosen as...
.: Read moreRobinson Gray named to top tier in 2020 Best Law Firms in America
COLUMBIA, S.C. – Robinson Gray has been named in the top tier for the Columbia area in 12 practice areas in the 2020 edition...
.: Read moreHaigler named to prestigious Federation of Defense and Corporate Counsel
COLUMBIA, S.C. – Nick Haigler, a member of Robinson Gray law firm, has been admitted as a member of the Federation of Defense &...
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- Practice Areas
- Administrative & Regulatory
- Appellate Practice Group
- Bankruptcy and Creditors’ Rights
- Business Transactions
- Commercial Litigation
- Commercial Transportation and Trucking
- Construction Litigation
- Election Law
- General Litigation
- Healthcare Litigation
- Non-Routine Litigation
- Premises Liability
- Probate and Estate Litigation
- Products Liability
- Professional Liability and Ethics
- Real Estate and Title Insurance
- Securities and FINRA
- Tax Law
- Workers’ Compensation