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 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.
Securities arbitration before FINRA is the most common way that disputes between customers and financial institutions are resolved; 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. The attorney at the Forman Law Firm, P.C. has the needed experience.
The financial markets are riddled with conflicts of interest between the professional and the investor. When these conflicts of interest spawn litigation or disputes in arbitration, it is critical to have an attorney with the right 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.