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Baldwin Law Group is a boutique law firm with extraordinary expertise and experience in securities law dedicated to achieving superior results for our clients. We understand the stress of litigation and view ourselves as your partner in working towards a successful result. The lawyers at Baldwin Law Group have extensive experience as former staff Attorneys at the SEC in Washington DC, former NASD-FINRA registered individuals and trial attorneys.

Baldwin Law Group has extensive SEC and FINRA experience in securities transactions, including public and private securities offerings. This transactional expertise is critical in understanding the complex structure of a disputed transaction as well as the applicable disclosure requirements under SEC and federal securities laws.


  • BLG announces recent results:
    Claimant/ Plaintiff Cases
  • $5.6 Million FINRA award against NDX Trading, LLC and Traderight Securities, including $2,000,000 in punitive damages, and $500,000 in attorney fees (May 2013)
  • $800,000 FINRA Award against Irvine, CA based investment firm CK Cooper & Company, and its principals, arising out of the Westmoore securities fraud (April 2013)
  • $650,000 settlement with hedge fund where net out of pocket damages were $625,000 (December 2012) .
  • Defense
  • Full release of a broker dealer and alleged control person for approximately 5% of alleged damages (April 2013).
  • Dismissal of all claims by FINRA Panel based on 6 year rule (March 2013)
  • Full release of an alleged broker dealer control person for $5,000 where claimed damages were over $600,000 ( March 2013)
  • Complete defense (FINRA Panel gave Claimant zero) of all claims against a CA broker dealer where agent admitted running elaborate Ponzi scheme out of the firm offices and where the agent was incarcerated at time of FINRA hearing (December 2012)
  • Baldwin Law Group announces the successful completion of a FINRA Arbitration against CK Cooper & Co., Inc. and Shawn Crawford (formerly of Westmoore Securities, Inc. and CK Cooper), wherein BLG’s clients received an Award of approximately $800,000 (which included compensatory damages of approximately $500,000 and an award for attorneys fees and interest).
  • Baldwin Law Group is currently handling a number of arbitration(s) at FINRA against Strategic Capital Group, RP Capital and Genesis Capital of Gig Harbor, Washington in connection with the Genesis Strategic Investors Offshore Fund, LP ("GSIO") and the Genesis Special Opportunity Fund, LP ("GSO") and related investments. Both funds are proprietary hedge funds of hedge funds formed and operated Genesis and sold by Strategic.
  • Michael Kokesh has joined The Baldwin Law Group as Of Counsel where he advises emerging growth and biotechnology companies, founders and entrepreneurs, and investors on corporate and securities law, domestic and international taxation, and business, finance and strategic issues.
  • Baldwin Law Group announces the successful conclusion of its representation of 42 victims of an elaborate Ponzi Scheme in Southern Arizona. The case was brought against a California Broker-dealer whose independent contractor registered representative ran the scheme over at least a 5 year period. The resolution resulted in the recovery of 87% of the funds lost by the victims.


    Think or Swim / TD Waterhouse

    Westmoore Securities, its Affiliates and Control Persons

    Overturf Financial Services and Hansueli Overturf

    Enterprise Trust Company

    Auction Rate Securities

    Citigroup Mat V Fund

    Charles Schwab Yield Plus Fund



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