Forman Law Firm, P.C. represents individual and institutional investors in complaints against the securities industry and investment sponsors of every type, but primarily against stock brokers, registered investment advisers, and sellers and promoters of private investments. Additionally, the Firm represents select registered representatives in enforcement and regulatory matters, employment related disputes, promissory note and loan transactions, wrongful termination, defamation, insurance coverage and indemnity disputes, and arbitration.
Bryan T. Forman, the principal of the Firm, has been practicing law since 1987 as a litigator at private law firms and as CEO and General Counsel of several broker-dealers. Since 1991, he has also served as Chief Executive Officer of brokerage firms which he founded, managing the overall business, regulatory, and legal affairs of the firms. During his tenure in the securities industry, he also served on several boards and advisory councils at the National Association of Securities Dealers (now known as FINRA), the regulatory authority over all stock brokers, gaining valuable insight into the regulatory process. His legal and industry experience combine to provide the Firm's clients with the unique depth and insight necessary to prevail in a securities arbitration, trial or enforcement proceeding.
Mr. Forman was born and raised in Tyler, Texas, received his undergraduate degree in Finance at the University of Texas at Austin, and his law degree from Southern Methodist University in Dallas. After practicing law and organizing a broker dealer and investment bank in Dallas, he moved to Austin, Texas where he started a family, served as CEO over a brokerage firm with offices in three states, and after selling his firm, transitioned to the full time practice of law in the securities industry, also serving as a mediator and expert witness. After more than a decade in Austin, and feeling a very strong tie to family, he moved his family back to Tyler to care for an aging Grandmother, and had the wonderful experience of taking care of family and raising two sons on Lake Tyler in East Texas. Moving back home gave Mr. Forman the opportunity to represent the good people of East Texas. He proudly represented hundreds of victims of investment fraud in East Texas, and continues to serve both investors and professionals in East Texas. When his two boys graduated high school, Mr. Forman again felt the pull of Austin, Texas and the unique Hill Country/modern vibe of the re-invented Austin, and now spends most of his time in Austin, representing clients from all over the state of Texas, while also keeping his original office in East Texas to continue serving clients in East Texas, Dallas/Ft. Worth and surrounds.
Most investment fraud cases against stock brokers are governed by mandatory arbitration provisions. Securities arbitration before FINRA is the most common way that disputes between customers and financial institutions are resolved. The arbitration rules of FINRA are unique, but the nuances of the FINRA arbitration practice are, perhaps, more important to know. However, when there is no valid and binding arbitration provision between the customer and the firm, the customer's claims may be pursued in state or federal court. In either forum, clients require an attorney experienced in the complex and sometimes arcane world of securities regulation that can also effectively communicate to the arbitrators or the jurors the essence of the case, from the filing of the claim all the way to the hearing before the panel of arbitrators or the jury. Clients should hire an attorney that spends the majority of their time in these types of cases. Forman Law Firm, P.C. has the needed experience.
If you believe your accounts have been mismanaged or feel that you have been misled by your financial professional, or if you lost more money than you were willing to lose, please contact us to have your case properly evaluated.