Griffin J. Abbott

Associate

Griffin J. Abbott is part of a team of lawyers that represents broker-dealers, investment advisers, and their executives in Financial Industry Regulatory Authority (FINRA) and US Securities and Exchange Commission (SEC) investigations. Griffin’s experience also includes assisting firms in evaluating whether to self-report matters under FINRA Rule 4530(b), counseling on securities regulatory issues, and conducting internal investigations for financial services companies.

Loading...