Frequently Asked Questions

While every case is different, most brokerage fraud cases have issues in common.  Similarly, when I am representing a broker or adviser in a new employment situation, or in a post-employment dispute, those matters also have similarities.  Whether I am representing a victim of broker misconduct or unsuitable recommendations, or whether I am representing a broker that was wrongfully terminated by their employer who later disparage the broker’s reputation on a Form U-5, most clients in this area of the law have the same concerns, the same questions, and the same decisions to make, regardless of the differences in their cases.

For every client, whether investor or professional, there are common questions about process, jurisdiction, venue, arbitration, discovery, depositions, costs, damages, confidentiality, and ultimately, is my case worth pursuing.  Here are some common questions:

·        What is Forman Law Firm’s experience and record of success?

·        Can you represent me if I don’t live in Texas?

·        Will my case be heard in arbitration or litigation?

·        How long do I have to bring my claims?

·        Where will my case be tried?

·        Will my deposition be taken?

·        What is the difference between arbitration and litigation?

·        What were the broker’s duties to me?

·        What is the difference between an investment adviser and stockbroker?

·        What is mediation?

·        Do I have a winning case?

·        How does settlement work?

·        What are the tax consequences?

·        Can they do anything to me?

·        Will my case be confidential?

·        Can I negotiate some garden leave provisions in my contract?

·        What arbitration provisions should I use as an investment adviser?

·        How do I comply with the Broker Protocol?

·        Does the language on my Form U-5 hurt my reputation?

·        How will my CRD be affected?

Many prospective clients have the same or similar questions as others in your situation.  We have tried to list some of the more frequently asked questions, but each person's case usually has many differences, and it is impossible to address every question a prospective client may have.  Most importantly, your case will be different from others, and your personal questions about your specific case are the ones we care most about. We welcome your personal inquiry by telephone, email, or in person- we will be happy to answer any questions you may have. 

We provide all prospective clients with as many free consultations as necessary for us to determine whether you have a case that should be pursued, or whether you need immediate representation.  Give us a call, we will be honored to visit with you, confidentially, about your case and answer your questions.

Client Reviews
Bryan Forman helped me through the turmoil of an investment advisor taking my family’s money. I was depressed and they gave me hope. They helped me recover some of the money taken from me. Bryan and his assistant Melody Bounds helped me with other concerns in my life and I am grateful. They kept me informed every step of the way and I highly recommend their firm. Nancy
Down to earth, personal, professional attention
Bryan and his assistant Melody could not have been more kind, compassionate and attentive. They explained everything that would be happening and were always available. My family is extremely grateful for the way they handled our legal issue. I would highly recommend them for your investment and securities issues.
I hired Bryan to help me with an issue with a financial institution. Bryan and his assistant Melody Bounds were professional and personal while resolving my situation. Bryan's experience and expertise were crucial in the positive outcome. Both he and Melody spent long hours researching and preparing my case. There was excellent communication during the process and they always kept me informed on the current events in my case. They treated me like family and not just a client. I would highly recommend Bryan Forman to represent anyone that needs legal representation regarding possible malpractice regarding investment fraud. Bryan will listen sincerely to your situation and give you his honest opinion on the validity of your case. John
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