Florida Stockbroker Fraud Lawyer

We have 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. 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.

Our firm has collected a ton of money from brokerage firms such as Merrill Lynch, Bank of America, Morgan Stanley Smith Barney, Wells Fargo, Securities America, Oppenheimer, UBS and many others.

Coronavirus Negligence by Stockbrokers COVID-19 (Coronavirus)Negligence by StockbrokersThe Coronavirus is clearly affecting the stock market in a very negative way. However your financial advisor was supposed to contact you and make recommendations to protect your portfolio.Did your financial advisor recommend stop orders? Did they have a specific exit strategy? Did they have a hedge in place? Did th...
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 LAW...

Wells Fargo Advisors Fined $225,000 and Censured by FINRA Wells Fargo Advisors, LLC aka Wells Fargo Clearing Services, LLC (CRD #19616, St. Louis, Missouri) was fined $175,000 and censured due to an alleged…
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fined $150,00 by FINRA Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #7691, New York, New York) was fined $150,000. Although the firm did not admit or deny the…
Jorge A. Reyes fined $4 Million and Banned by FINRA Jorge A. Reyes (CRD #4256834, Miami, Florida) was fined $4,009,000 plus interest, in restitution to clients and was barred from association with any…
Wilson-Davis & Co., Inc., Byron Bert Barkley and James C. Snow Jr. Fined $1.1 Million by FINRA On December 31, 2019, the firm Wilson-Davis & Co., Inc., and brokers Byron Bert Barkley, and James C. Snow Jr were fined $1,100,000, and had to…
FINRA Fined Samuel Lek $900,000 and Permanently Barred Samuel Lek, former Chief Executive Officer of Lek Securities Corporation (Lek Securities) (CRD #1642936)– An AWC (Accept, Waiver & Consent)…
Nomura Securities International, Inc. Fined $300,000 and Censured by FINRA Nomura Securities International, Inc. (CRD #4297, New York, New York) – An AWC (Accept, Waiver & Consent) was issued in which Nomura…
Coronavirus Negligence by Stockbrokers The coronavirus (a.k.a. the Chinese Virus/ Chinese Flu) is clearly affecting the stock market in a very negative way. However, once the market dropped…

Blum Law Group recovers $15 Million for investors! Raymond James To Pay $15M To Settle Hidden-Fee Claims

Blum Law Group slams UBS of Puerto Rico with big arbitration award including attorneys fees; despite UBS's argument that the client made money!

Our attorneys won a $150,000.00 verdict from a FINRA Arbitration Panel, for an investor who claimed that an annuity was improper and the costs and fees were not fully disclosed. Richman v. Morgan Stanely Smith Barney LLC, FINRA Case No. 12-03934