Keith L Griffin
Securities and Investment Fraud Attorney
- Role
- Founding Partner at Griffin Law Firm, Llc
- Location
- Indianapolis, IN, US
- LinkedIn followers
- 500 followers
About Keith L Griffin
Represented hundreds of investors in NASD/FINRA arbitration cases. Claims include unsuitibility, misrepresentations/omissions, negligence and failure to supervise. Represent Investment Advisors/Firms to ensure compliance. Review and prepare client contracts. Update Form ADVs. Advise and assist in preparation for state or SEC audit. Counsel and defend clients in FINRA and state regulatory proceedings. Specialties: Securities arbitration, mediation, regulatory defense and RIA compliance.
Experience
Founding Partner
Jul 2009 — Present · Indianapolis, IN, US
Education
Indiana University Bloomington
BA, Political Science
1991 — 1996
Skills
- Securities Regulation
- Legal Research
- Securities Arbitration
- Litigation
- Corporate Governance
- Class Actions
- Product Liability
- Corporate Law
- Alternative Dispute Resolution
- Dispute Resolution
- Arbitration
- Trial Practice
- Mediation
- Legal Writing
- Finra
- Civil Litigation
- Commercial Litigation
- Appeals
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