Christopher Grobbel

Counsel · Goodwin

United StatesSecurities Regulation, Broker-Dealer Regulation

À propos

Chris Grobbel counsels clients on broker-dealer and securities market regulation, including compliance and supervision, and has experience with SEC and FINRA matters.

Domaines d’expertise

Securities RegulationBroker-Dealer RegulationFinancial Services RegulationCompliance

Bureau

United States

Goodwin · Counsel

United States

Expertise

SEC and FINRA MattersBroker-Dealer Formation and RegistrationCompliance and SupervisionMarket StructureRegulation NMSRegulation ATSEquity and Options TradingAML ComplianceMarket Access Rule ComplianceCybersecurityFinancial TechnologyCryptocurrency

Formation

J.D., University of Florida, Levin College of Law
B.S., University of Michigan