Florida Stockbroker Fraud Lawyer

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.

Our Florida stockbroker fraud lawyers 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.

FINRA Decision Regarding Legend Securities, FINAL (FINRA Case #2012030422902) Legend Securities, Inc. (CRD #44952, New York, New York) – An OHO (Office of Hearing Officers) Decision became final…
Oppenheimer & Co. Inc. Censured & Fined by FINRA
(FINRA Case #2013038869101) Oppenheimer & Co. Inc. (CRD #249, New York, New York) – An AWC (Accept, Waiver & Consent) was issued in which…
FINRA Suspends James Flower for Three Months (Requires Continuing Education) (FINRA Case #2014040644001) James William Flower (CRD #2817701, Melville, New York) – An AWC (Accept, Waiver & Consent) was issued in which…
Hickman, Fined, Suspended and Ordered to Pay Restitution by FINRA (FINRA Case #2015046087601) Christopher Robert Hickman (CRD #3267599, Boynton Beach, Florida) – An AWC (Accept, Waiver & Consent) was issued…
Wells Fargo Securities, LLC Fined 3.2 Million Dollars (FINRA Case #2014040326101) Wells Fargo Securities, LLC (CRD #126292, Charlotte, North Carolina) – An AWC (Accept Waiver & Consent) was…
FINRA Suspends Landa for Two Months (FINRA Case #2016049485101) Stephen J. Landa (CRD #2172148, Easton, Connecticut) – An AWC (Accept, Waiver & Consent) was issued in which…
An Offer of Settlement issued for James Davis Trent (FINRA Case #2014041539301) James Davis Trent (CRD #2730687, Lexington, South Carolina) – An Offer of Settlement was issued in which Trent was…

FINRA Sanctions Delaney Equity Group, LLC Delaney Equity Group, LLC Did you lose money investing in Penny Stocks with Delaney Equity Group, LLC? Blum Law Group is investigating both the sales practices of Delaney Equity Group, LLC advisors and the penny stocks. If you suffered financial losses from the sale of Penny Stocks with Delaney Equity Group, LLC, contact Blum Law Group today by calling at 1-877-STOCK LA... more
UBS Puerto Rico Bond Losses Did you lose money investing in a bond fund or bonds by UBS in Puerto Rico or elsewhere? Blum Law Group is investigating both the sales practices of UBS Puerto Rico advisors and the bonds and bond funds. The bond funds include the Puerto Rico Investors Tax-Free Fund, Inc., the Puerto Rico Fixed Income Funds, Power and Electric Bonds, Franklin Double Tax-Free Income A, Oppenheimer Rochest... more
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 investo... 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 potent... more