Civil Litigation and Dispute Resolution
Mr. Gregory’s knowledge, training, and experience can assist you or your business in cases related to:
- Securities Litigation, Arbitration, and Mediation
- Alternative Dispute Resolution — Mediation, Arbitration, Collaborative Law
- Aviation Law and Litigation
- Divorce and Domestic Relations — including Collaborative Divorce and Mediation
- Complex Litigation
Securities Litigation and Arbitration
The Gregory Law Firm represents investors, broker-dealers and registered representatives in all types of securities litigation and FINRA arbitration and mediation. Prior to attending law school, Mr. Gregory worked in the securities industry as an investment broker. During those years, Mr. Gregory held Series 7 and Series 63 licenses as well as variable annuities and insurance licenses. Mr. Gregory’s securities industry work focused on investments in high-grade common stocks and taxable and tax-exempt debt securities for both retail and institutional clients. Mr. Gregory has served since 1995 as a FINRA arbitrator and mediator.
Representation of Investors
- Fraud in the Sale of Securities — Section 10(b) of the Securities Exchange Act of 1934 and Similar State Statutes
- Suitability — The Securities Sold to You Do Not Meet Your Investment Objectives or Are Not Appropriate for Your Age, Your Financial Situation, or Your Goals
- Undue Concentration — Putting all Your Eggs in One Basket
- Failure to Supervise — The Brokerage Firm Did an Inadequate Job of Monitoring Your Individual Advisor and Your Account
- Churning — Your Broker Bought and Sold Securities to Generate Commissions
- Selling Away — Your Broker Sold You Securities or other Investments Which Were Not Offered By the Brokerage Firm
Red Flags For Investors
- Margin Trading (NOTE — Warren Buffett advises investors never to trade or invest with borrowed money. Link to article.
- Speculative Options Trading
- Frequent Recommendations to Buy and Sell
- Recommendations of Penny Stocks
- Recommendations Based on Non-Public Information
- Private Placements
- Variable Annuities
Representation of Registered Representatives and Broker-Dealers
- Representation of financial advisors and broker-dealers in employment disputes in FINRA arbitration
- Form U5 defamation and Form U5 and Form U4 expungement matters
- Promissory note disputes
- Recruiting disputes
- “Raiding” claims
- Claims for wrongful termination
- Federal statutory employment claims — age discrimination, race discrimination, gender discrimination
Contact an experienced securities law firm
To schedule a consultation or a mediation with Steven P. Gregory of the Gregory Law Firm, P.C., call 205.314-4874 or contact our office online (https://www.gregorylawfirm.us/contact-us/).
Mediation, Arbitration, and Collaborative Law: Affordable alternatives
The cost of traditional litigation can easily exceed the amount of the loss. Fortunately there are various means of alternative dispute resolution (ADR), including mediation and arbitration, which are less costly and quicker than civil lawsuits, but can deliver the same or better remedies. Mr. Gregory is a skilled negotiator (Certificate 2016, Harvard Negotiation Institute) who has successfully represented clients in arbitration and mediation hearings and has settled lawsuits prior to trial, saving his clients expenses and getting their businesses back on track. Moreover, Mr. Gregory can help counsel and parties resolve lawsuits through mediation.
Aviation Law and Litigation
Steven Gregory has held a private pilot certificate since 1986 and remains an active pilot today. He has served for many years as a panel attorney for the Aircraft Owners and Pilots Association (AOPA) Legal Services Plan, and he represents pilots and aircraft owners in numerous types of regulatory and aviation business matters. Mr. Gregory is also knowledgeable regarding statutes, rules, and regulations regarding private and commercial use of drones and can help drone operators avoid violations.
Divorce and Domestic Relations — including Collaborative Divorce and Mediation
Steven Gregory practices as a divorce and domestic relations mediator, including all aspects of family law — divorce, child support, visitation, and grandparents’ rights. Mr. Gregory also has been trained in collaborative divorce and collaborative law and practices actively as a collaborative lawyer. For more information on collaborative divorce, see this section of the Gregory Law Firm website.
Mr. Gregory has practiced in the areas of class, derivative, securities litigation andarbitration, aviation, antitrust, products liabil ity, subrogation litigation, and other complexlitigation. Mr. Gregory maintains a civil trial and appellate practice in state and federal courts. Mr. Gregory has been admitted on a pro hac vice basis to practice in federal courts in a number of jurisdictions and has appeared and presented oral argument on several occasions before the Judicial Panel on Multidistrict Litigation.