Securities
Jeffrey Grubman, Esq. is a veteran ADR professional who has served as a mediator in approximately 2,000 cases in 31 states, the District of Columbia, and Puerto Rico in a wide variety of complex cases, including class actions and high impact, multi-party matters. Many of those mediations involved securities cases.
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.
Read counsel comments about Mr. Grubman's skills and style as a neutral.
Representative Matters
- Mediated FINRA disputes in 25 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
- 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
- $10 million plus securities fraud action against the principals of a closely held limited liability company involving corporate waste and theft
- Claims involving 419(e) life insurance policy against insurance agent, insurance company, and accountant
- Mediations throughout the United States against an independent broker-dealer involving its sale of DBSI 1031 tenant-in-common investments to its customers
- Mediations throughout the United States against two independent broker-dealers involving their sale of private real estate investment trusts and other private placements
- 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
