Current Investigations

Forman Law Firm continuously investigates broker misconduct and enforcement proceedings announced by FINRA, the SEC, and various State's securities regulators.  Frequently, when a broker or firm is found to have violated securities rules and regulations, there are numerous customers that have been victimized by the conduct.  Frequently, we are able to bring class actions or "mass" or grouped complaints which serve to emphasize the misconduct, and often results in a more economic representation compared to individual cases.

If you want to know whether your broker, adviser or brokerage firm is or has been the subject of investigation or enforcement proceedings, please give us a call.