About
Chris Grobbel counsels clients on broker-dealer and securities market regulation, including compliance and supervision, and has experience with SEC and FINRA matters.
Practice areas
Securities RegulationBroker-Dealer RegulationFinancial Services RegulationCompliance
Office
Expertise
SEC and FINRA MattersBroker-Dealer Formation and RegistrationCompliance and SupervisionMarket StructureRegulation NMSRegulation ATSEquity and Options TradingAML ComplianceMarket Access Rule ComplianceCybersecurityFinancial TechnologyCryptocurrency
Education
- J.D., University of Florida, Levin College of Law
- B.S., University of Michigan