Sandra Dawn Grannum concentrates her practice on securities, broker/dealer arbitration, litigation, mediation and regulatory defense. She is a managing partner of the firm and co-chair of the Commercial Litigation Team.
Sandy has tried complex multimillion-dollar arbitrations before FINRA, AAA and JAMS across the country. She has represented brokerage firms, banks, clearing firms, and associated persons in over 60 arbitrations before the NASD and FINRA which have been tried through award.
In addition, she has successfully pursued cases in state and federal courts and in adversarial proceedings before bankruptcy courts. Sandy has written and lectured widely on securities and ethics issues.
She has been involved in developing compliance programs in response to the Department of Labor fiduciary rule and Dodd-Frank and Sarbanes-Oxley legislation.
She chairs the full-day PLI Securities Arbitration Seminar conducted annually in New York City and regularly speaks at SIFMA C&L Annual Conference and on other CLE programs addressing securities and employment law.
Sandy was one of 13 individuals on the FINRA Dispute Resolution Task Force. FINRA charged this group to collaborate and suggest strategies to enhance the transparency, impartiality, and efficiency of FINRA’s securities dispute resolution forum for all participants.
On December 16, 2015, the task force issued its recommendations detailed in the Final Report and Recommendations of the FINRA Dispute Resolution Task Force. Sandy is a contributor to Drinker Biddle’s Broker-Dealer Law Blog, which provides practical insights on litigation, regulatory, compliance and fiduciary issues impacting broker-dealers.
Sandy was an Associate General Counsel handling securities litigation at PaineWebber/UBS Financial Services and later became Senior Vice President and Senior Associate General Counsel in PaineWebber/UBS’ Employment Law Unit.
- Employment Law : Sandy has tried a number of employment trials, arbitrations and administrative hearings. She represents corporate clients in federal courts across the country and before the Equal Employment Opportunity Commission (EEOC) as well as state divisions and commissions of human rights.
- General Litigation : Sandy has handled a variety of complex general litigation matters, including shareholder clawback litigations and takeover/business judgment rule litigations, employment discrimination and securities litigation.
- Harvard Law School, J.D.
- New York University, B.A.
Bar Admissions : New Jersey, New York
Court Admissions :
- U.S. Supreme Court
- U.S. Court of Appeals, First Circuit, Second Circuit, Third Circuit
- U.S. District Court, Eastern District of Michigan
- U.S. District Court, Eastern District of New York
- U.S. District Court, Northern District of New York
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