Barbara J. Glenns, Esq., a New York based attorney, specializes in matters involving the securities industry.
Since 1984, she has successfully litigated a broad variety of legal, statutory and regulatory issues, both simple and complex, in courts, arbitrations and mediations, representing brokerage firms and individual registered representatives in regulatory and disciplinary hearings before FINRA, the Securities and Exchange Commission (SEC), state securities commissions, and various other securities industry self-regulatory organizations. She has interacted with United States Attorney General Offices, State District Attorney's offices, FBI and other criminal and state regulatory agencies.
In addition, she has served as a FINRA arbitrator for over 20 years and has successfully mediated over 50 cases involving diverse customer and employment claims filed against both national and regional brokerage firms.
Ms. Glenns has advised broker dealers on regulatory and compliance matters; employment issues; the establishment or acquisition of broker dealer licenses and requisite state licensing; prepared Business, Compliance and Anti Money Laundering Manuals; attended SEC and FINRA audits. She has advised clients offering PIPEs; IPOs; reviewed Private Placement Memorandum and prepared necessary documents, agreements and filings.
Ms. Glenns also serves as an arbitrator for FINRA and as a mediator for FINRA and the United States District Court—Eastern District of New York.