About
K. Susan Grafton counsels broker-dealers on regulatory compliance, including SEC registration, FINRA membership, and change-of-control approvals, with a focus on securities trading and markets.
Practice areas
Securities RegulationFinancial Services RegulationBroker-Dealer Compliance
Office
Expertise
Broker-Dealer RegulationSecurities Trading and MarketsFinancial Services Compliance
Education
- McDaniel College, B.A., 1980
- The Catholic University of America, Columbus School of Law, J.D., 1985
- Georgetown University Law Center, LL.M., 1989