Overview
Gregg Breitbart serves as co-managing partner of Kaufman Dolowich’s Fort Lauderdale office and co-chair of the Financial Services & Institutions Practice Group. He focuses his practice on securities arbitration and litigation; regulatory and enforcement matters before the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and state regulatory authorities; employment litigation; directors and officers (D&O) litigation; corporate governance; and related commercial litigation and counseling.
With more than 30 years of experience, Mr. Breitbart represents corporate and individual clients in securities-related disputes, regulatory proceedings, and commercial litigation. Before joining Kaufman Dolowich, he was a partner at a Wall Street-based law firm, where he handled securities arbitration, litigation, and regulatory matters. Previously, he served as general counsel to a regional broker-dealer and investment bank with more than 300 associated persons. In that role, he oversaw securities regulatory and enforcement matters, represented the firm and its representatives in securities disputes, handled employment-related litigation and arbitration, and advised on commercial litigation and related matters.
Earlier in his career, Mr. Breitbart was a partner at an international law firm in Miami, where he represented clients in securities litigation and arbitration, regulatory investigations and proceedings, and commercial litigation. He began his legal career at Cadwalader, Wickersham & Taft in New York, where he worked on commercial litigation involving securities, broker-dealer matters, corporate governance, and employment, as well as corporate finance transactions involving collateralized mortgage obligations (CMOs), sale-leasebacks, and other securitized financing.
Admissions
- Florida
- New York
- U.S. District Court
- Southern District of Florida
- U.S. Court of Appeals
- Eleventh Circuit
- Middle District of Florida
Education
- University of Miami – J.D.
- University of Miami Law Review, Associate Editor
- University of North Carolina, Chapel Hill – B.A
Professional Memberships
- Florida Bar Association
- New York State Bar Association
- American Bar Association
Recognition
- Florida Super Lawyers (2016)
Publications
- Investment News, “Modernizing Rule 2210: What FINRA’s Recent Proposals Signal for Broker-Dealer Communications,” by Gregg Breitbart, Esq., 9-15-2026
- Despite Rule Change, FINRA’s BrokerCheck Tags No ‘Restricted’ Firms?, Partner Gregg Breitbart quoted in Advisor Hub, 6-20-2024
- Finra’s One-Time Offer: Discharge Bad Brokers And Avoid “Restricted” Designation, quote from Gregg Breitbart, Esq., in AdvisorHub
- So, You’re in Legal Trouble. Does Your Firm Have Your Back? Financial Advisor IQ, March 23, 2022
- Merrill’s Swift Firing of FA Over Tirade a Stark Reminder, Financial Advisor IQ, quote by Gregg Breitbart, Esq., 1-28-22
- Gregg Breitbart, Gara Seagraves, present “FINRA Hot Topics: A View From the Field” at 2021 IBDC Annual Conference
- How advisers can avoid Finra scrutiny over personal liens, judgments, or bankruptcies, InvestmentNew’s Outside-IN
- Mediation in Securities Arbitration Cases: Regain Control, New York Law Journal
- The Proliferation of Complex Investment Products May Lead to More FINRA Enforcement Actions and Arbitration Claims, PLUS Journal
- FINRA’s New “Know Your Customer” and Suitability Rules – Something Old, Something New, DRI’s Riding the E&O Line
News
- Kaufman Dolowich Legal Team Prevails on Behalf of Client Against Successor Liability Claims, 4-2-2025
- KD Alert: SEC Approves Revamped FINRA Background Checks Rule; Broker Recruitment Compensation Rule Expected
- The Proliferation of Complex Investment Products May Lead to More FINRA Enforcement Actions and Arbitration Claims, PLUS Journal
- KD Alert: The Supreme Court of the United States Opens the Door to Additional Whistleblower Claims and Shareholder Litigation
- October 2022, “Settling Securities Disputes,” Annual Public Investors Advocate Bar Association : “Settling Securities Disputes,” Annual Public Investors Advocate Bar Association, San Antonio, Texas
- David Baugh, Gregg Breitbart Speakers at 2018 IBDC CONFERENCE
- Gregg Breitbart Guest Speaker at Annual PIABA Conference in Bonita Springs, FL : final hearing strategies
- Stefan Dandelles and Gregg Breitbart, Presenters at 2016 IBDC Annual Conference : FINRA and SEC "Hot Topics"
- Gregg Breitbart, Guest Lecturer at the University of Miami Law School Investor Rights Clinic : Securities Arbitration from the Defense Perspective
- 2015 Independent Broker Dealer Consortium Annual Conference
- 2014 Kovack Securities, Inc. Annual Conference : Managing Compliance Risks: Protecting Yourself and the Firm
- Gregg Breitbart presents at NEXT Financial Group’s Annual Educational Conference : Best Practices to Avoid and Defend Securities Arbitrations
- Gregg Breitbart gives panel presentation for the Palm Beach County Bar Association : Mandatory Arbitration of Investor and Employment Claims before FINRA, AAA and NFA
- Ivan Dolowich and Gregg Breitbart present at the 2013 Catlin Consortium : Mediation in Securities Arbitration Cases
- ADR/Mediation & Securities Committees Joint CLE Lunch : FINRA Mediation: Maximizing Results for You and Your Clients
Blogs
- FINRA Expungement of Customer Disputes About to Become Much More Expensive
- How advisers can avoid Finra scrutiny over personal liens, judgments, or bankruptcies, InvestmentNew’s Outside-IN
- Mediation in Securities Arbitration Cases: Regain Control, New York Law Journal
- The Proliferation of Complex Investment Products May Lead to More FINRA Enforcement Actions and Arbitration Claims, PLUS Journal
- FINRA’s New “Know Your Customer” and Suitability Rules – Something Old, Something New, DRI’s Riding the E&O Line
Our Firm's Awards & Honors
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