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Mark D. Griffin

Shareholder
Memphis
T: 901.577.2221
F: 901.577.0870

Mark D. Griffin represents clients in securities and financial institutions litigation matters, broker-dealer and investment adviser law and regulation, and investigations and enforcement proceedings involving the SEC, FINRA, and other government agencies and self-regulatory organizations.

Featured Experience

Representing broker-dealer firm and registered representative in connection with SEC investigation arising out of municipal bond underwriting and sales.

Representing broker-dealer firm and registered representatives in connection with FINRA cause exam and investigation relating to the sale of L-share variable annuities.

Representing SEC registered investment adviser in state court litigation filed by institutional customer arising out of recommendations to purchase notes issued by pooled trust preferred CDOs.

Professional Biography

Overview

Based in the Memphis office, Mark is co-chair of the Firm's Broker-Dealer/Investment Adviser industry service team, and devotes a substantial portion of his professional time to representing financial institutions, broker-dealers, investment advisers, depository institutions, private equity firms, and individual clients in both trial and appellate litigation as well as arbitrations involving issues relative to securities, broker-dealer, and investment adviser law and regulation, and various types of corporate and commercial litigation.

Representative Matters
  • Representing broker-dealer firm and registered representative in connection with SEC investigation arising out of municipal bond underwriting and sales.
  • Representing broker-dealer firm and registered representatives in connection with FINRA cause exam and investigation relating to the sale of L-share variable annuities.

  • Representing SEC registered investment adviser in state court litigation filed by institutional customer arising out of recommendations to purchase notes issued by pooled trust preferred CDOs.
  • Representing national banking association and its capital markets division and affiliated broker-dealer in FDIC, SEC and FINRA inquiries regarding sales of CDO notes.

  • Represented broker-dealer firms and registered representatives in connection with FINRA enforcement actions related to sales of UITs and use of consolidated statements.

  • Represented broker-dealers and bank dealers in connection with SEC’s Municipalities Continuing Disclosure Cooperation Initiative.

  • Represented broker-dealer and registered representatives in FINRA arbitration initiated by institutional customer alleging securities fraud, misrepresentation, and breach of fiduciary duty in connection with sales of trust preferred CDO notes.

  • Successfully defended regional center and its principals in federal litigation alleging securities fraud involving EB-5 Immigrant Investor Program.
  • Secured dismissal of fraud claims filed against capital markets division of national banking institution arising out of plaintiffs' purchases of interest rate swaps to hedge interest rate risk on bonds issued to finance commercial real estate projects.

  • Successfully defended company and its employee in SEC investigation involving EB-5 Immigrant Investor Program.
  • Represented broker-dealer firm and its registered representative in FINRA arbitration involving institutional customer's claims of securities fraud, common law fraud, misrepresentation, suitability and failure to supervise in connection with customer's purchase of CDO mezzanine notes. After evidentiary hearing, the arbitration panel issued an award dismissing all claims against our clients.
  • Successfully defended CPA in case involving claims of professional negligence and breach of fiduciary duty.
  • Represented broker-dealer firm and its registered representative in FINRA arbitration involving institutional customer's claims of fraud, suitability and failure to supervise in connection with customer's purchase of auction rate securities. After evidentiary hearing, the arbitration panel issued an award dismissing all claims against our clients and recommending expungement of the matter from clients' CRD records.
  • Represented broker-dealer firm and registered representative in FINRA arbitration involving retail customer's claims of fraud, misrepresentation, suitability and failure to supervise in connection with customer's purchase of variable annuity product. After hearing testimony and considering evidence from all parties, the arbitration panel issued an award dismissing all claims against our clients.

  • Representing national banking association and its capital markets division and affiliated broker-dealer in state court litigation involving claims of securities fraud and misrepresentation brought by institutional customer arising out of the purchase of trust preferred CDO notes.
  • Represented national banking association and its capital markets division and affiliated broker-dealer in federal court action involving claims of securities fraud, aiding and abetting breach of fiduciary duty, and commercial bribery by trustee of bankrupt investment advisory firm. The claims were made in connection with the investment advisory firm's purchase of CDO notes and reverse repo transactions.

  • Represented national banking association and broker-dealer firm in action involving claims of fraud and misrepresentation in connection with retail customer’s purchase of auction rate securities.

  • Successfully represented broker-dealer firm and registered representative in action involving claims of securities fraud, suitability and failure to supervise in connection with retail customer's purchase of structured securities product.

  • Secured summary judgment award in favor of broker-dealer firm on claims of fraud, breach of contract and tortious interference by national structured settlement consulting firm.
  • Secured $4 million settlement for broker-dealer firm in an unfair competition case, where former employees attempted to misappropriate and use broker-dealer's trade secrets and confidential business information in a competitive start-up company.

Professional Honors & Activities
  • AV® Preeminent™ Peer Review Rated by Martindale-Hubbell
  • Listed in The Best Lawyers in America® in Arbitration and Commercial Litigation, 2013 – 2018; Securities Litigation, 2018
  • Named the Best Lawyers' 2018 Memphis Securities Litigation "Lawyer of the Year"
  • Listed in Mid-South Rising Stars, 2008 – 2010
  • Member – Memphis, Tennessee and Mississippi Bar Associations
  • Member – Leo Bearman Sr. American Inn of Court, 2003 – 2004
  • Member – Phi Kappa Phi
Speaking Engagements

Awards

Education

  • University of Mississippi School of Law, J.D., 1995, with honors
  • University of Mississippi, B.A., 1992, with honors

Admissions

  • Tennessee, 1995
  • Mississippi, 1996

Mark really understands our business. I can give him the lay of the land and get good advice quickly. He knows the industry and the various issues. He's very accessible. I have his cell, home and office numbers and know I can reach him anytime.

President of a financial services company

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