Goodwin

Counsel

Chris Grobbel counsels clients on broker-dealer and securities market regulation, including compliance and supervision. Mr. Grobbel represents clients in SEC and FINRA matters, including on broker-dealer formation and registration and ongoing compliance. Mr. Grobbel has a wide array of specialized experience at the SEC relating to broker-dealer compliance with SEC and FINRA regulations, SRO rules, market structure, Regulation NMS compliance, Regulation ATS, equity and options trading, AML compliance, Market Access Rule compliance, cybersecurity, financial technology and cryptocurrency, and communications with the public.

Mr. Grobbel’s unique experience gives him both breadth and depth of understanding of the securities laws and regulatory approach applicable to broker-dealers, SROs, ATSs, and other industry participants.

J.D., University of Florida, Levin College of Law

B.S., University of Michigan