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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.

Derek Wayne Border Suspended for Three Months (FINRA Case #2016050071102) Derek Wayne Border (CRD #5175361, Huntington, Pennsylvania) submitted an AWC (Accept, Waiver and Consent) in which he was…
Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d) Ayrton Pierce Haddad (CRD #6125741) Naples, Florida FINRA Case #2016051413301 Following Haddad's voluntary resignation from E*Trade in August 2016 he…
Mark Schklar Fined and Suspended for Eight Months by FINRA The suspension is in effect from March 20, 2017, through November 19, 2017. (FINRA Case #2015044509301) Mark Schklar (CRD #1952816, Eagleville,…
Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h) Donald Lee Watson Jr. (CRD #1833707) Bradenton, Florida (March 13, 2017) FINRA Case #2016049321701 Watson was discharged from The Jeffery…
Cecil Ernest Nivens named in FINRA Complaint (FINRA Case #2014040873501) Cecil Ernest Nivens (CRD #2110613, Gastonia, North Carolina) was named a respondent in a FINRA complaint alleging…
Ultralat Capital Markets, Inc. Censured and Fined by FINRA (FINRA Case #2013035313903) Ultralat Capital Markets, Inc. (CRD #136791, Miami, Florida) submitted an AWC (Accept, Waiver & Consent) in which the…
Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d) David William Beutler (CRD #2245901) Frankfort, Illinois (March 6, 2017) FINRA Case #2016051308601 Beutler has a Pending Customer Dispute…

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