Mark D. Griffin represents a wide range of financial institutions and individuals in securities fraud and professional liability matters in state and federal courts, as well as in arbitrations before FINRA and AAA.
Mark also represents clients in formal and informal regulatory matters and in inquiries, investigations, and enforcement proceedings by securities regulatory bodies, including the SEC, FINRA, and the MSRB.
Based in the Memphis office, Mark is co-chair of the Firm’s Broker-Dealer/Investment Adviser industry service team, and devotes a substantial portion of his professional time to representing financial institutions—including national and regional broker-dealers, investment advisory firms, depository institutions, bank dealers, municipal securities dealers, and municipal advisors—and their officers and representatives in
(1) state and federal court litigation as well as arbitration proceedings before FINRA and the AAA;
(2) inquiries, investigations, and enforcement proceedings by the SEC, FINRA, MSRB, FDIC, state securities commissioners, and other regulatory bodies; and
(3) employment related disputes, including “raiding” claims, theft of trade secrets and injunctive proceedings in unfair competition and employee transition cases.
Mark also has substantial experience in counselling firms and individuals in internal investigations and in compliance and regulatory matters relative to the securities industry.
- University of Mississippi School of Law, J.D., 1995, with honors
- University of Mississippi, B.A., 1992, with honors
- Tennessee, 1995
- Mississippi, 1996
- Representing broker-dealer firm and registered representative in connection with SEC investigation arising out of municipal bond underwriting and sales.
- Representing dual-registrant firm in FINRA investigation involving cybersecurity and anti-money laundering compliance practices.
- Representing municipal advisors and representatives in ongoing SEC inquiries and investigations.
- Defending SEC registered investment adviser in state court litigation filed by institutional customer arising out of recommendations to purchase notes issued by pooled trust preferred CDOs.
- Represented public company and officers in SEC Enforcement Action, which resulted in a settlement with no monetary penalty to clients.
- Represented broker-dealers and bank dealers in connection with SEC’s Municipalities Continuing Disclosure Cooperation Initiative.
- Defended broker-dealer and registered representatives in FINRA arbitrations initiated by institutional customers alleging securities fraud, misrepresentation, and breach of fiduciary duty in connection with sales of trust preferred CDO notes.
- Secured dismissal of fraud claims filed against capital markets division of national banking institution arising out of plaintiffs’ purchases of interest rate swaps to hedge interest rate risk on bonds issued to finance commercial real estate projects.
- Successfully defended CPA in case involving claims of professional negligence and breach of fiduciary duty.
- Frequent representation of broker-dealers and investment advisers in connection with regulatory cycle and cause examinations.
Professional Honors & Activities:
- Member – Memphis, Tennessee and Mississippi Bar Associations
- Member – Leo Bearman Sr. American Inn of Court, 2003 – 2004
- Member – Phi Kappa Phi
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