SECURITIES
Jeffrey S. Grubman is a mediator and arbitrator for securities and other business disputes. Mr. Grubman is certified by the Financial Industry Regulatory Authority and the American Arbitration Association both as a mediator and an arbitrator, and he 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.
Mr. Grubman was employed by the national law firm of Morgan Lewis and Bockius for several years in the early 1990s where he represented brokerage firms, registered representatives and registered investment advisors in lawsuits and arbitration proceedings initiated by customers. Mr. Grubman was also involved in many industry disputes between brokerage firms and their registered representatives. Mr. Grubman's clients included several of the largest brokerage firms in the United States. Mr. Grubman was involved extensively in the pre-trial and trial stages of a variety of securities disputes, including selling away, suitability, churning, unauthorized trading and breach of fiduciary duty claims. Mr. Grubman also negotiated many settlements on behalf of his financial services clients.
From the mid-90s until 2005, Mr. Grubman was a partner in two boutique litigation law firms in Miami and Boca Raton, Florida. The primary focus of Mr. Grubman's practice during that time involved the representation of investors in securities arbitration proceedings against brokerage firms, registered investment advisors and other financial services companies. However, Mr. Grubman represented some registered representatives as well as a couple of brokerage firms during that time. Mr. Grubman had the opportunity to represent many investors throughout the arbitration process and in mediation.
Through his representation of clients in the securities arbitration process, Mr. Grubman became a strong proponent of the mediation process. Beginning in 2005, Mr. Grubman phased out his active securities arbitration practice in order to serve as a mediator (and continue to serve as an arbitrator) in securities disputes. Since that time, Mr. Grubman has mediated a vast number of cases, ranging from small cases to multi-million dollar cases. Mr. Grubman mediates securities disputes within and outside of Florida.
Mr. Grubman's one and one-half decades of experience handling cases for and against brokerage firms uniquely qualifies him to evaluate securities disputes and to assist all parties in reaching a fair resolution. Mr. Grubman 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.