Ulmer & Berne Adds Senior FINRA Counsel

Michael A. Gross, previously Senior Litigation Counsel at the Financial Industry Regulatory Authority (FINRA), has joined Ulmer & Berne as a partner. Gross’ practice focuses on representing broker-dealers, investment advisers and registered persons operating in the broader financial services industry. He has represented clients in disciplinary proceedings and arbitrations, primarily in actions involving complex charges, including fraud, anti-money laundering, sales of unregistered securities, excessive mark-ups, unsuitability, churning, disclosures, licensing, registration, record retention and supervision.

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