Sandra Dawn Grannum concentrates her practice on securities, broker/dealer arbitration, litigation, mediation and regulatory defense.
Sandy has tried complex multimillion-dollar arbitrations before FINRA, AAA and JAMS across the country. She has tried more than 50 arbitrations before the NASD and FINRA through award represented brokerage firms, banks, clearing firms, and associated persons. In addition, she has successfully pursued cases in state and federal courts and in adversarial proceedings before bankruptcy courts.
Sandy has written and lectured widely on securities and ethics issues. She has been involved in developing compliance programs in response to the Department of Labor fiduciary rule and Dodd-Frank and Sarbanes-Oxley legislation. She chairs the full-day PLI Securities Arbitration Seminar conducted annually in New York City and regularly speaks at SIFMA C&L Annual Conference and on other CLE programs addressing securities and employment law. Sandy was one of 13 individuals on the FINRA Dispute Resolution Task Force. FINRA charged this group to collaborate and suggest strategies to enhance the transparency, impartiality, and efficiency of FINRA's securities dispute resolution forum for all participants. On December 16, 2015, the task force issued its recommendations detailed in the Final Report and Recommendations of the FINRA Dispute Resolution Task Force.
Sandy was an Associate General Counsel handling securities litigation at PaineWebber/UBS Financial Services and later became Senior Vice President and Senior Associate General Counsel in PaineWebber/UBS’ Employment Law Unit.
Sandy has tried a number of employment arbitrations and administrative hearings. She represents corporate clients in federal courts across the country and before the Equal Employment Opportunity Commission (EEOC) as well as state divisions and commissions of human rights.
Sandy has handled a variety of complex general litigation matters, including shareholder clawback litigations and takeover/business judgment rule litigations, employment discrimination and securities litigation.
Sandy has represented client in on-the-records, in hearings, trials and on appeals before regulatory bodies, such as FINRA, the SEC, the Department of Justice, the National Adjudicatory Council and the Office of Professional Medical Conduct.
Sandy is one of a 13-member Arbitration Task Force formed by the Financial Industry Regulatory Authority (FINRA) to consider possible enhancements to its arbitration forum to improve the transparency, impartiality and efficiency of FINRA’s securities arbitration forum for all participants. The Task Force’s Report was published on December 16, 2015.
- New Jersey
- New York
- Harvard Law School, J.D.
- New York University, B.A.
- U.S. Supreme Court
- U.S. Court of Appeals, First Circuit
- U.S. Court of Appeals, Second Circuit
- U.S. District Court, Eastern District of Michigan
- U.S. District Court, District of New Jersey
- U.S. District Court, Eastern District of New York
- U.S. District Court, Northern District of New York
- U.S. District Court, Southern District of New York
- American Bar Association, Securities Litigation Committee, Co-Chair of the Arbitration Sub-Committee
- New York State Bar Association