Sandra Dawn Grannum

sandra.grannum dbr.com
Phone: (973) 549-7015 (973) 549-7015
Fax: (973) 360-9831

About

Sandra Dawn Grannum represents broker-dealers, investment advisers, insurance companies, hedge funds and other financial industry clients in arbitrations, administrative law proceedings and mediations in customer, employee and industry disputes. She also defends and prosecutes litigations in federal and state courts and before administrative law judges at the trial and appellate levels. Sandy serves as a managing partner of the firm and co-chair of the Commercial Litigation team.

Sandy arbitrates disputes before FINRA, the American Arbitration Association (AAA) and JAMS. To date, she has represented brokerage firms, banks, clearing firms and associated individuals in more than 60 arbitrations before the NASD and FINRA that have been tried through to award. She also mediates disputes before FINRA, AAA, JAMS, the EEOC and state human rights divisions. In addition, Sandy represents clients in regulatory reviews, disciplinary hearings, trials and appeals against the SEC, state securities and insurance regulators, and self-regulatory bodies. She provides counsel on regulatory and compliance issues such as development policies and procedures in response to the ever-changing regulatory environment (including the SEC’s recent Reg BI).

Sandy is a member of the firm’s Best Interest Compliance cross-disciplinary team, which advises Financial Services clients and prepares them for the changing regulatory landscape. She contributes to Drinker Biddle’s Broker-Dealer Law Blog, which provides practical insights on litigation, regulatory, compliance and fiduciary issues impacting broker-dealers.

Clients turn to Sandy for assistance with general commercial litigation and single-plaintiff employment claims, and she provides employers with litigation counseling and defense. As part of that practice, she drafts and negotiates employment contracts and separation agreements and performs investigations into employee complaints of discrimination and harassment and whistleblower complaints.

Sandy is a former broker-dealer and in-house counsel at PaineWebber and later UBS, giving her an appreciation for litigation exposure as well as regulatory and public relations risks and budgetary concerns in each case she handles.

Experience

Sandy has tried a number of employment trials, 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 clients in on-the-records, in hearings, trials and on appeals before regulatory bodies, such as FINRA, the SEC, the Department of Justice, state securities regulators, the National Adjudicatory Council and the Office of Professional Medical Conduct.

Recognitions

“100 Women Who Inspire Us,” ABA Litigation Section, 2019
New York State Bar Association, 2019 Kay Crawford Murray Award
The Network Journal’s 2019 25 Influential Black Women in Business Award
NOAH NY Distinguished Service Award

Awards Methodology (www.drinkerbiddle.com/content/awards)

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.

Credentials

Bar Admissions

  • New Jersey
  • New York

Education

  • Harvard Law School, J.D.
  • New York University, B.A.

Court Admissions

  • U.S. Supreme Court
  • U.S. Court of Appeals, First Circuit
  • U.S. Court of Appeals, Second Circuit
  • U.S. Court of Appeals, Third 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

Organizations

  • American Bar Association, Securities Litigation Committee, Co-Chair of the Arbitration Sub-Committee
  • New York State Bar Association