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2700 Corporate Drive, Suite 200, Birmingham, Alabama 35242

Securities Mediation and 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

Breach of contract
Breach of Fiduciary Duty
Churning
Failure to Supervise
Limited Partnerships
Misrepresentations and omission (fraud)
Mutual Funds
Penny Stocks
Private Placements
Selling Away (selling investments outside the auspices of the broker-dealer)
Suitability (or, more correctly, unsuitability)
Unauthorized trading
Undue Concentration
Variable Annuity Fraud

Industry Disputes

Employment discrimination (race-based, gender-based, age-based)
Promissory note cases
Raiding cases

Contact Mr. Gregory today.

The Gregory Law Firm, P.C. can help individuals, registered representatives, and securities broker-dealers resolve their disputes without going to court, destroying relationships, or breaking the bank. Engage experienced attorney Steven P. Gregory to work with you in addressing your legal concerns. The firm’s offices are conveniently located near Highway 280 in northern Shelby County, Alabama. Call  205-314-4874 to arrange your consultation or contact the firm online.