Securities Arbitration

All investors have the right to competent and suitable investment advice. We have have helped hundreds of investors recover millions of dollars in damages.

Securities Mediation

Griffin Law Firm, LLC has extensive experience in the securities regulatory arena. The firm represents companies and individuals in investigations and proceedings brought by the SEC, NASD (now FINRA) and many state securities regulators.

Securities Regulatory and Compliance Matters

Griffin Law Firm advises its clients with respect to compliance issues including formation, regulation, reporting, supervision, and policies and procedures.

Former Morgan Stanley and Ameriprise Rep Censured By FINRA

FINRA recently fined former Texas-based Morgan Stanley and Ameriprise broker Steven Yellen $25,000 for unauthorized ...

Financial Regulation – What’s Next

Since the Financial Crisis of 2008, financial regulations have grown (some say out of control).  ...

Stock Market Charts

ADV Time for RIAs

RIA firms with a fiscal calendar ending on December 31st have until March 31st to ...