FacultyFaculty/Author Profile
Mike Alford

Mike Alford

Raymond James Fncl Inc
Associate General Counsel
St Petersburg, FL, USA


Mike Alford is currently employed as Senior Vice President and Deputy General Counsel for Raymond James Financial, Inc., a diversified financial services holding company whose subsidiaries engage in securities brokerage, investment banking, asset management and banking services.  In his current role, Mike manages the firm’s litigation and dispute resolution efforts across all business lines. His duties include selection and management of outside counsel relationships and supervision of an in house litigation team. In addition, the firm’s Seniors and At Risk Investor Task Force reports up to Mike. He joined Raymond James in August of 1994. During his tenure with the firm Mike has managed attorney teams responsible for Regulatory Enforcement, Equity Capital Markets, Fixed Income, Asset Management and Human Resources.

From 1989 through 1993, Mike was employed by PaineWebber, Inc. as in-house counsel.  While at PaineWebber, he divided his time between securities litigation and employment disputes, including statutory discrimination claims.  Prior to PaineWebber, Mike was a litigation associate with Holland & Knight in Miami, where his practice areas included general commercial litigation and labor law.

Mike attended the University of Florida, graduating with honors from the College of Law in 1986 where he served on the Editorial Board of the University of Florida Law Review.  In addition, he is a member of the Florida Chapter of the Order of the Coif.

Mike is a member of the Board of Arbitrators and has served in that capacity with FINRA, the American Arbitration Association, and the National Futures Association.  Professional memberships include The Florida Bar, the American Bar Association and SIFMA’s Complianc and Legal Society.  Mike served two terms as a founding member of the NASD Florida Advisory Council on Arbitration and spent 15 years as a member of SIFMA’s National Arbitration and Litigation Committee.  He currently holds a number of securities licenses, including the Series 7, 9, 10 and 24, and serves on the SIFMA-CL Executive Committee.

Mike Alford is associated with the following items:
Web Segment  Web Segment Recent and Upcoming Developments in FINRA Arbitration and Mediation - Securities Arbitration 2017, Thursday, September 28, 2017
MP3 Audio  MP3 Audio Recent and Upcoming Developments in FINRA Arbitration and Mediation - Recent and Upcoming Developments in FINRA Arbitration and Mediation, Thursday, September 28, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Recent and Upcoming Developments in FINRA Arbitration and Mediation - Recent and Upcoming Developments in FINRA Arbitration and Mediation, Thursday, September 28, 2017
On-Demand Web Programs  On-Demand Web Programs Securities Arbitration 2017, Wednesday, October 04, 2017, New York, NY
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