Mediator and Arbitrator in Birmingham, Alabama

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Mr. Gregory is a member of the Commercial and Consumer Panels of Arbitrators for the American Arbitration Association and of the panel of arbitrators for the Financial Regulatory Authority (FINRA). He is one of the most knowledgeable and seasoned lawyers in Alabama in the areas of alternative dispute resolution, mediation, arbitration, and collaborative law. He has been appointed to almost one hundred arbitration panels and has been chosen by the parties and their counsel to chair at least half of those panels. Mr. Gregory has mediated numerous cases encompassing a wide variety of legal issues, including divorce, securities, breach of contract, and shareholder disputes.

Steven Gregory is one of only a few securities lawyers in the United States with a background as a registered representative as well as lengthy and extensive service as a FINRA securities arbitrator and mediator.

Before law school, Mr. Gregory worked as a registered representative in the securities industry, focusing on investments in high-grade common stocks and taxable and tax-exempt debt securities for both retail and institutional clients. Mr. Gregory held Series 7 and Series 63 licenses as well as life insurance and variable annuity licenses. In his law practice, Mr. Gregory has represented customers in disputes between customers and firms over churning, suitability, securities fraud, breach of fiduciary duty, and failure to supervise claims. He also represents stockbrokers and brokerage firms in disputes with customers as well as intra-industry disputes including promissory note cases, raiding cases, and statutory employment cases such as race and gender discrimination cases. As a FINRA panelist since 1995, he has served as a panel member in over one hundred securities arbitration matters, chairing at least half of those panels. 

Mr. Gregory is Experienced in the following Securities matters:

Investor Disputes:

   Undue Concentration
   Breach of contract
   Breach of Fiduciary Duty
   Failure to Supervise
   Limited Partnerships
   Misrepresentations and omission (fraud)
   Mutual Funds
   Selling Away
   Private Placements
   Penny Stocks
   Variable Annuity Fraud

Intra-Industry Disputes

   1. Employment discrimination (race-based, gender-based, age-based)
   2. Promissory note cases
   3. Raiding cases

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