Securities Mediation

Jeffrey S. Grubman is a mediator for securities and other business disputes. Mr. Grubman is certified by FINRA (formerly NASD) both as a mediator and an arbitrator. He is also certified by the Supreme Court of Florida as a certified Circuit and County Court mediator and is a qualified arbitrator under Florida law.

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 and registered representatives in lawsuits and arbitration proceedings initiated by customers. 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 brokerage clients.

From the mid-90s until 2005, Mr. Grubman was a partner in the Miami law firm Herman Roof Borgognoni & Moore (later Herman & Grubman) and subsequently the Boca Raton law firm Stollman & Grubman. A primary focus of Mr. Grubman’s practice during that time involved the representation of brokerage customers in securities arbitration proceedings against brokerage firms. 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 2004, Mr. Grubman phased out his active securities litigation practice in order to serve as a mediator 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.

Education

• J.D., University of Southern California, 1989 (Hale Moot Court Honors participant)
• B.S in Finance. University of Florida, 1986 (Graduated with High Honors)

Admitted to Practice

• Florida , California, U.S. District Courts (Southern & Middle Districts of Florida, Central District of California); U.S. Court of Appeals (9 th & 11 th Circuits)

Publications & Lectures

• PLI, Securities Arbitration 2006, Author of Chapter on Mediation
  
• PIABA Bar Journal (Winter 2006), Securities Mediation
  
• Financial Services Institute, Speaker in Web Broadcast on “Managing Litigation Risk”
  (March 2007)
• PIABA Annual Meeting (2007), Moderator of Mediation Panel