All investors have the right to competent and suitable investment advice. We have have helped hundreds of investors recover millions of dollars in damages.
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.
Griffin Law Firm advises its clients with respect to compliance issues including formation, regulation, reporting, supervision, and policies and procedures.
Enforcement, Investments, Stocks
FINRA recently fined former Texas-based Morgan Stanley and Ameriprise broker Steven Yellen $25,000 for unauthorized ...