Jeffrey Grubman

Jeffrey Grubman, Esq.

JAMS Mediator, Arbitrator and Referee/Special Master

Case Manager
Meghan K. Richardson
T: 202-533-2033
F: 202-942-9186
600 Brickell Avenue, Suite 2600, Miami, FL 33131
mrichardson@jamsadr.com

Biography

Jeffrey Grubman, Esq. is a veteran ADR professional who has served as a mediator in over 2,000 cases in 36 states, the District of Columbia, and Puerto Rico in a wide variety of complex cases, including class actions and high impact, multi-party matters. Mr. Grubman works tirelessly to settle every case he mediates, employing a variety of creative settlement techniques.

Before becoming a neutral, a significant portion of Mr. Grubman’s legal practice involved securities litigation and arbitration. He had a particular expertise in FINRA arbitration matters. He worked at Morgan, Lewis & Bockius for several years during which time he represented some of the largest brokerage firms in the world. Subsequently, he was a partner at two boutique South Florida law firms and represented claimants in FINRA matters. Mr. Grubman’s one and one-half decades of experience handling cases for and against brokerage firms, registered investment advisors, and other financial services companies uniquely qualifies him to evaluate securities disputes and to assist all parties in reaching a fair resolution. He understands the concerns and issues facing the investor, the broker, the brokerage firm, and their respective attorneys, and he interacts with all concerned in a respectful and professional manner.

In addition to serving as a mediator in securities arbitration matters involving the financial services industry, Mr. Grubman has litigated and mediated a wide array of securities litigation matters in court, including shareholder derivative actions, securities class actions, whistle blower actions involving the financial services industry and federal and state statutory securities claims against officers and directors of publicly traded and privately held corporations.

Mr. Grubman is certified by the Financial Industry Regulatory Authority (FINRA) and is a qualified arbitrator under Florida law. He is also certified by the Supreme Court of Florida as a certified Circuit and County Court mediator and by the Federal District Court for the Southern District of Florida.

 

Representative Matters

  • Mediated FINRA disputes in 36 states, as well as Puerto Rico and the District of Columbia
  • Mediated dispute between aggrieved investor against bank arising out of the Scott Rothstein Ponzi scheme, including claw back issues
  • Mediated multiple claims against financial professionals arising out of the Madoff Ponzi scheme
  • Arbitrator on multi-million dollar case against investment advisor related to feeder fund investment in Madoff ponzi scheme
  • Arbitrator on claw back claim involving large Ponzi scheme 
  • Mediated fraud claims by investors of long standing NYSE broker-dealer against the principal and control persons claiming that the principal’s actions put the firm out of business
  • Mediated $10 million plus securities fraud action against the principals of a closely held limited liability company involving corporate waste and theft 
  • Mediated claims involving 419(e) life insurance policy against insurance agent, insurance company, and accountant
  • Mediated action against major broker-dealer involving claims related to alleged borrowing of equity in home and business to fund speculative investments in brokerage accounts
  • Mediated multi-million dollar claim for disgorgement of short-term profits pursuant to Section16(b) of the Securities and Exchange Act of 1934
  • Mediated 20+ claimant, multi-million dollar claim involving major broker-dealer’s sale of a complex private placement involving an options trading strategy, which was sold to customers inside a variable annuity
  • Mediation of multi-claimant, multi-million dollar claim against broker-dealer for its registered representative’s alleged sale of real estate away from the firm
  • Mediation of indemnification/contribution claim by large broker dealer against registered investment advisor arising from broker dealer’s multi-million dollar settlement of FINRA arbitration claim with investor

Presentations

  • Non‐FINRA Arbitrations ‐ A Look at RIA Issues, Public Investors Advocate Bar Association, 28th Annual Meeting, October 2019
  • Settlements and Mediation from the Defense Perspective, Public Investors Advocate Bar Association, 27th Annual Meeting, October 2018
  • Alternative Dispute Resolution for Litigaion and Transactional Attorneys, 9th Annual Miami Entertainment Law Symposium, April 2018
  • Mediation Panel Speaker, Public Investors Advocate Bar Association, 26th Annual Meeting, October 2017
  • Mediation: Making Sense of the Unknown, ABA Section of Labor and Employment Law, 2016 Midwinter Meeting, February 2016
  • Managing the Complex Business Case in ADR, ABA Section of Dispute Resolution 16th Annual Spring Conference, 2014
  • Expanding the Use of ADR in the Media and Entertainment Industries, JAMS & NY Bar Entertainment Section, September 2014
  • The Good, the Bad and the Ugly of ADR in Intellectual Property Cases, JAMS, March 2014
  • Best Practices in Employment Mediation, JAMS Mediation Week, October 2014
  • Ethics in IP and Entertainment ADR, North American Sports, Entertainment and IP Association, November 2013
  • Moderator, Mediation Panel, Public Investors Advocate Bar Association Annual Meeting, 2012
  • Conducted Mock Mediation, hosted by Caitlin, Inc. before an audience of independent broker dealers in Phoenix, AZ, 2007

Professional Activities

  • Completed Virtual ADR training conducted by the JAMS Institute, the training arm of JAMS
  • Selected as one of the "Top Three Mediators" in the Daily Business Review's "Best of" survey three years in a row (2013-2015)
  • Steering Committee, Legal Aid Society of Palm Beach County, Inc.

Publications

  • Jeffrey Grubman, P.A, focusing on Mediation and Arbitration, 2005-2012
  • Litigation Partner, at two boutique law firms (Herman & Grubman, Miami and Stollman & Grubman, Boca Raton), 1994-2005
  • Morgan, Lewis & Bokius LLP, 1991-1994
  • Ruden McClosky, 1990-1991
  • Manatt, Phelps & Phillips, LLP, 1989-1990
  • J.D., University of Southern California, 1989 (Hale Moot Court Honors)
  • B.S., Finance (with High Honors), University of Florida, 1986

Counsel Comments


    • “I wanted to extend my personal thanks, on my behalf and also of my client, for your professionalism, your efforts, and the terrific job you did yesterday getting everyone to “yes.” I’m not sure, but perhaps this is one of those rare cases where both parties walked away relatively happy. My appreciation extends to your commitment to staying so late to help us iron out the little issues that came up. You kept things reasonable, moving, and (surprisingly) not unpleasant.”

      - Plaintiffs’ Intellectual Property attorney
    • “Thank you. You were great [in our mediation] yesterday, as always, and you definitely taught me some things to use when I mediate. Starting with [my client] the way you did was genius. I salute you for it.”

      - Plaintiffs’ Intellectual Property attorney
    • “Thank you for your effort and good work…you have earned a spot in my very, very small and exclusive club of ‘go-to mediators’…thanks for your patience, guidance and good judgment.”

      - Senior Vice President & In-House Counsel, U.S. financial services company
    • “It was a pleasure working with you today, and I will forever remember you as the mediator who guided me through my first Zoom mediation. I was quite pleased with the process, and you did a great job. Zoom makes using a Florida mediator on a West Coast case a lot more viable! I look forward to working with you on our next case.”

      - Los Angeles Securities Litigator
    • “I am all-in on Zoom mediations on a going forward basis…I cannot imagine they [clients] won't insist on them from a cost and efficiency perspective.”

      - Portland, Oregon Business/Securities Litigator
    • “Happy to report my client accepts the mediator's proposal…you did a great job in getting us to this point. My client and I both appreciate your efforts. We would not be here without you."

      - South Florida Business Litigator
    • "[Mr. Grubman] did an incredibly fine job getting us "settled."  I'm a big proponent of mediation, and [he is] one of the best at the craft I've come across over three decades of litigation on a national scale -- a true master.  I'll be singing [his] praises…Hopefully our paths will cross again."  
    • “I wanted to formally thank you for your efforts in getting the case resolved. I have been practicing for 27 years and that was probably the most complicated coverage/judgment/factual matter that I have ever encountered, and would make a good law school exam question. I will definitely recommend your services should anyone be seeking a mediator.”

      - Law Firm Partner with Insurance Coverage Practice
    • "I do not think anyone else could have accomplished the settlement you brought the parties...The situation seemed virtually hopeless and yet you gracefully brought both sides to their senses and to common ground...we thank you for sharing with us your profound experience and uniquely elegant professional abilities."

      - Prominent Litigation Attorney
    • "Jeff was first rate. Perhaps the best mediation performance by a mediator that I've had in my 20 years of practicing law."

      - Co-Chair, Litigation Department of a Large FL Law Firm
    • “Jeff is a superb mediator. Knowledgeable, quick-study, persistent with a calming demeanor. Highest marks possible and second to no one.”

      - NY Securities Defense Attorney
    • “I pushed for Jeff Grubman with adverse counsel and then again with my client when the mediation needed to be pushed to a later date because I believe that if this case is capable of being settled prior to litigation being filed, it is Mr. Grubman who can do it. As he knows, I’ve been surprised and pleased with the two un- settleable cases which he actually was able to resolve.” 

      - South Florida Litigation Attorney
    • “I thought this case had no chance of being resolved, I am so impressed you kept at it and got the parties to agree.” 

      - International Law Firm Business Litigation Partner
    • “Thank you so much! What a great resolution. I am glad that we can be one of your success stories!  What a miracle worker you are, to turn such animosity into laughter and hugs!  As you say, I hope it continues smoothly, but we are certainly in a much better place than we were on Friday morning! It was great to be with you, and I will certainly recommend you to our entertainment attorney community here.  I'm glad to know you can come here as well.”

      - Prominent Atlanta Entertainment Attorney
    • “I should tell you that my client (a plaintiff’s medical malpractice attorney) is not a big fan of mediators. When I first raised the idea of mediating his case, he indicated that he had yet to meet a mediator he thought was helpful. Yet he thought you did a great job. He thought you added much value to the process. So there's that: you impressed him. And us.” 

      - Prominent Plaintiffs’ Business Litigation Attorney
    • “I think Jeff brings a wealth of experience and a practical perspective to every case. He’s litigated cases from both the plaintiff and defense side, and combining that experience with his practical experience and business sense, he has the ability to keep a balanced perspective in evaluating the relative strengths and weaknesses in cases.”

      - Prominent South Florida Business Litigation Firm Partner
    • “Our firm has used several mediators over the last several years but found in particular that Jeff has a unique ability to convey and articulate the issues in a manner which engages both sides into constructive discussions. Furthermore, we found that Jeff does excellent preparation prior to the mediation in understanding the issues and his evaluative approach is very effective in assisting the parties reach an amicable resolution.”

      - Plaintiffs’ Securities Litigation Firm Partner
    • “I primarily use Jeff because he gets the job done. Jeff understands the subject matter and clearly puts in the time necessary to prepare for a mediation session. He is not dogmatic in his approach; he recognizes the different personalities that are involved in any particular mediation, and acts accordingly. He has insight as to what will work with the parties; he is not adverse to employing different strategies and thinking out of the box – he is willing to change to accommodate the parties involved in the proceeding. He is different than his competitors in that he employs a certain personable and professional demeanor in relaying to my clients his evaluation and opinion on their exposure, without alienating or insulting them. Furthermore, his evaluations are well thought out and the product of his preparation and ability to listen and comprehend the information that he learns during the course of a session. I can think of one case in particular where he was extremely effective; the matter involved multiple parties, numerous investments, and several damage calculations. Miraculously, he was able to bring everything together and get the case settled to the satisfaction of all involved.” 

      - National Law Firm Business Litigation Shareholder
    • “I feel that we have all worked cooperatively together over the past 6 six weeks to reach this point. Jeff, you simply did a fine and resolute job with both sets of attorneys and clients – and I know it was a challenge. I simply cannot ask for more from a mediator.” 

      - Plaintiffs’ Securities Litigation Attorney from California
    • “There are four reasons I use Jeff and propose him as a favored mediator in my cases. First, he prepares meticulously for each mediation and takes the time to understand the factual and legal issues in the case. Second, Jeff has a special ability to put the parties at ease and to eliminate the posturing that unfortunately tends to occur in such proceedings. Third, Jeff quickly focuses on the key issues in the case. Fourth, Jeff works tirelessly, even in the days after the mediation if necessary, to bring the matter to a successful resolution.”

      - Prominent Plaintiff's Securities Litigation Attorney
    • “Of course. And thanks again for all of your assistance and candor. Your involvement was an integral force that extracted the settlement.”

      - Commercial Litigation, Partner
    • “I am frequently asked to recommend mediators...[and] my inclination is to recommend people who have an even keeled style that does not preclude evaluation, but does not overemphasize it...I liked the way you approached the case. I am glad we got to work together and hope to do it again.”

      - Expert Witness, Financial Services





     

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