Susan Grafton

Practice Areas

K. Susan Grafton counsels broker-dealers, including U.S. and multinational broker-dealers, full-service firms, institutional and retail broker-dealers, equity and fixed-income alternative trading systems, investment banking boutiques, private placement agents, and securities exchanges. She advises on regulatory issues touching nearly every aspect of a broker-dealer’s business, financial, operations and supervisory responsibilities. She also represents retail investment advisers, hedge fund and other private fund managers, research providers and financial services trade associations. She began her career with the SEC’s Division of Trading and Markets. Subsequently, Ms. Grafton served as a vice president and associate general counsel of Goldman Sachs and was a partner in the broker-dealer and securities enforcement practices of a large international law firm.