Securities and FINRA

Sowell Gray Robinson 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.

Sowell Gray Robinson 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.