Attorney Profile

Securities and Business Litigation

Formerly a licensed stockbroker for Merrill Lynch and PaineWebber (now known as, UBS), Montgomery (“Monty”) G. Griffin is an attorney with offices in both Newport Beach and Sacramento who represents investors in arbitration and litigation against stock brokerage firms, investment advisors, and their brokers/financial advisors to recover losses caused by broker misconduct related to stocks, mutual funds, variable annuities, bonds, and other products. The types of investors we represent include individuals (including many senior citizens), institutions, trusts, small businesses, IRAs, estates, and pension plans.

Montgomery Griffin is one of only a few attorneys in the United States with a significant amount of experience as a former stockbroker. Monty was employed for 10 years at two of Wall Street’s largest firms (1986-1995), during which time he maintained a 100% clean compliance record. Monty’s first-hand experience in the securities industry from 1986 through 1995 enables him to understand precisely how brokerage firms mishandle accounts, breach duties, misrepresent the nature and risk of investments, and, on some occasions, cheat their customers. 

Known for his thorough preparation, Montgomery Griffin has an impeccable record of success with securities arbitration and litigation disputes since first entering the securities arbitration arena in 1996. Collectively, through his representation and assistance, investors have recovered millions of dollars by way of settlements (including mediations), arbitration hearings, and trials. 

In addition to his work as an attorney, Montgomery Griffin has been qualified as an expert witness on numerous occasions in securities matters in New York and California. Since 1995, when Monty worked for the law firm of Paul, Hastings, Janofsky & Walker in Los Angeles, he has served as an arbitrator for FINRA, including in the capacity as Panel Chairperson. 

Monty’s experiences as an attorney, expert witness, and arbitrator, combined with his past experience as a stockbroker, make him uniquely qualified to handle securities disputes between investors and brokerage firms. 

According to FINRA’s arbitration rules, Monty is authorized to represent parties before FINRA arbitration panels in all 50 states and United States territories, subject to state law.

Broker Expungement and Promissory Note Collection Cases

The Law Offices of Montgomery G. Griffin represents securities industry professionals during FINRA investigations, disciplinary actions, and enforcement hearings. Our law firm also represents brokers in actions against their current or former firm for issues such as wrongful termination, defending against promissory note collection claims, and expungement proceedings related to brokers’ CRDs and Form U-5s.

Nearly all of Montgomery’s past and present clients have been referrals from stockbrokers, attorneys, arbitrators, former clients, and industry experts who are familiar with Monty’s knowledge of the securities industry and his reputation for being highly prepared for hearings, mediations, and trials. 

Montgomery Griffin’s 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)