Handled Over $1 Billion of Investor Claims!

Blum Law Group is a nationally-recognized securities law firm headquartered in South Florida with offices in Fort Lauderdale and Asheville, NC . The primary focus of the firm is representing investors worldwide with their claims for losses due to stockbroker misconduct and brokerage firm negligence involving stocks, bonds, commodities and other products.

The firm is counsel in numerous securities arbitration cases against many brokerage firms such as Merrill Lynch, Bank of America, Morgan Stanley Smith Barney, Wells Fargo, Securities America, Oppenheimer, UBS and many others.

We have handled over $1 Billion of investors' claims. The firm primarily handles cases on a contingency fee basis.

Our cases have been featured in numerous national publications and Mr. Blum has been honored and recognized for his accomplishments.



Stock Attorneys Blog

Current Investigations

  • Lehman Brothers' Principal Protected Notes Lehman Brothers' Principal Protected Notes (PPN) were recommended as safe income-producing investments. Brokers at UBS and other firms pitched these products as similar to buying a basket of stocks (such as the S&P 500), but with the added benefit of up to 100% principal protection if the market went down. However, Lehman Brothers declared bankruptcy in September 2008 leaving inves... more
  • MF Global Holdings The court-appointed trustee overseeing MF Global's bankruptcy says up to $1.2 billion is missing from customer accounts, double what the firm had reported to regulators in October 2011. MF Global may have failed to appropriately segregate customer funds, and could have commingled those funds for use in its highly leveraged proprietary trading.  Blum Law Group is investigating pote... more
  • Puerto Rico Conservation Trust Fund Secured Notes Blum Law Group is investigating whether this complex investment was accurately represented and suitably recommended to investors in Puerto Rico. The notes were underwritten by UBS Financial Services, Inc. of Puerto Rico, Popular Securities, R-G Investments Corp. and Santander Securities Corp. According to the SEC filings of R&G Financial Corp., the Puerto Rico Conservation Trust serv... more
  • McGinn Smith and National Financial Services, LLC In April 2010, both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) filed lawsuits against McGinn Smith and its principals, alleging that from 2003 through April 2010, McGinn Smith committed an ongoing fraud against over 900 investors. The suits allege that McGinn Smith lured its customers into these investments with the understandin... more

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Verdicts & Settlements

$150 million, collectively, to the plaintiffs and the arbitration claimants. McCoy, et al. v. Securities America, Inc., et al., U.S. Dist. Ct. - C.D. Cal.

A FINRA panel awarded over $7 million to a group of investors, including more than $4 million in punitive damages. Paula Casper, et al. v. Gary Gross, et al., FINRA Case No. 06-04334.

$9,120,466.90 FINRA arbitration award against CapWest Securities, Inc. Merle Allen, et al. v. CapWest Securities, Inc., FINRA Case No. 09-06962.

On behalf of our clients, our attorneys have pursued over $30 million in claims, and have favorably resolved those claims, against UBS Financial Services.

Our attorneys obtained for an investor a nearly $1.1 million FINRA arbitration award against Leighton David Applefeld. Bernice Kramer v. Leighton David Applefeld, et al., FINRA Case No. 07-02447.

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