Dechert LLP

Susan Grafton

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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. Ms. Grafton 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.

Professional Memberships

ABA, Federal Securities Law Committee of the Section of Business Law; FINRA Corporate Financing Rules Subcommittee; Securities Industry and Financial Markets Association, Legal and Compliance Division