Montgomery G. Griffin
Attorney at Law

Montgomery (“Monty”) Griffin is an investment loss recovery attorney who, since 1996, has represented aggrieved investors (including many elderly investors) and registered representatives nationwide in disputes with Wall Street, financial advisors, and other financial services firms.  The nuanced details involved in disputes between investors and their former advisors are part of Monty’s DNA. Monty’s experience in the securities industry began in 1986 when Merrill Lynch hired him to become a financial advisor after he had returned from the Masters program at the London School of Economics in London, England.  In all, Monty worked for approximately 10 years (1986-1995) as a financial advisor for two of Wall Street’s largest firms, Merrill Lynch and PaineWebber (now known as UBS Financial Services). During that period, Monty always had a perfectly clean compliance record (found today online in each advisor’s FINRA BrokerCheck report). 

While working as a financial advisor for UBS, Monty attended law school for four years as a night student, graduating in 1995.  Monty has successfully prosecuted many cases for aggrieved investors against UBS over the years. Today, Monty and his team are currently investigating matters related to the UBS Yield Enhancement Strategy (UBS YES).  Utilizing the perspective gained from his unique five-year experience at UBS, Monty has written about things he learned while at UBS that help him now with his work for investors related to the UBS YES product.

In addition to his law practice, Monty is now in his third decade as a member of FINRA’s Board of Arbitrators.  Following completion of his work for Paul, Hastings, Janofsky & Walker in 1995-1996, Monty was selected in 1995 by FINRA Dispute Resolution (then known as the NASD) to serve as a member of its Board of Arbitrators to hear and judge cases between investors, financial advisors, and financial services firms.  Since his selection, Monty has been appointed by FINRA to hear and judge approximately 40 cases, including as Panel Chairperson. Monty has also been qualified many times as a testifying expert witness to opine on the standards of conduct for financial advisors and the proper assessment of damages by arbitration panels in California and New York, as well as the Superior Court of California.    

Monty has served on the faculty of the Los Angeles County Bar Association Securities Arbitration program, including having been a featured investors’ attorney speaker before arbitrators, securities attorneys, and FINRA staff members.  Monty has also been featured by the press related to securities issues and case results he has obtained, including in the Wall Street Journal, Los Angeles Times, Thomson Reuters, Orange County Register, the Daily Journal, and the Dow Jones Newswires.  

Known for his thorough preparation and attention to important details with every case, Monty’s decades-long approach of carefully screening and accepting cases only with strong merit (and frequently rejecting weaker cases) allows him to personally work and communicate closely with each client of the firm on a one-on-one basis to achieve the best result possible.  Monty and his team have recovered many, many millions of dollars for wronged investors, as well as for registered representatives who have been wrongfully terminated, pursued for unpaid promissory note balances, defamed on their Form U5, or misled during their recruitment by large Wall Street firms. 

Educational Background

  • UCLA (1980-81) (Economics)
  • University of the Pacific (B.A., Economics, 1984)
  • London School of Economics, London, England (Master’s Program, Economic History, 1985)
  • Western State University, College of Law (J.D., 1994)

Admissions

  • California Bar (all courts)
  • FINRA Board of Arbitrators, 1995
  • United States District Court, Central District of California, 2008
  • United States District Court, Eastern District of California, 2010
  • United States District Court, Southern District of Florida, 2016