Securities Mediation & Arbitration

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.

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.

Mr. Gregory has participated as an arbitrator, as a mediator, and as counsel for clients in arbitration and in court in matters involving issues such as the following:

Investor Disputes

   1. Breach of contract
   2. Breach of Fiduciary Duty
   3. Churning
   4. Failure to Supervise
   5. Limited Partnerships
   6. Misrepresentations and omission (fraud)
   7. Mutual Funds
   8. Penny Stocks
   9. Private Placements
   10. Selling Away (selling investments outside the auspices of the broker-dealer)
   11. Suitability (or, more correctly, unsuitability)
   12. Unauthorized trading
   13. Undue Concentration
   14. Variable Annuity Fraud

Industry Disputes

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