Partner, Warner Norcross & Judd, LLP.
Melvin (“Mel”) G. Moseley, Jr., a partner in Warner Norcross & Judd, LLP, handles all aspects of securities litigation and counseling clients on regulatory compliance. He regular litigates customer and industry disputes in FINRA arbitrations, as well as in state and federal courts and the American Arbitration Association when such disputes are not subject to FINRA arbitration. His broker dealer and registered representative clients have retained him to litigate in over a half-dozen states, and he is experienced in using independent facilitative mediators and those available through FINRA to resolve controversies. A member of the National Society of Legal Professionals and the Securities Industry and Financial Markets Association, Mr. Moseley gives compliance presentations to broker-dealers and registered representatives regarding current enforcement issues and ways to minimize and prepare for litigation risks. In addition to litigation and compliance presentations, he regularly counsels clients on regulatory compliance, transitioning registered representatives and registered investment advisors from one firm to another, and hiring and firing decisions.
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