Tommy Marshburn-Claims Analyst

Thomas M. Marshburn, Jr.

Background and Qualifications

Thomas M. Marshburn, Jr. “Tommy” is a claims analyst for The Forman Law Firm in Austin, Texas, and is not an attorney, thus bringing an industry specific perspective lacking in many firms.  He has spent 25 years in the securities brokerage industry, serving as a registered representative, registered principal and registered investment advisor. He was active in the fixed income markets during that time as a producing salesman, fixed income trader, supervising principal and managed registered investment advisor accounts. He has extensive experience modeling fixed income cash flows from deal documents. He possesses a wide-ranging expertise in all aspect’s securities acquisition and disposition, clearing and settlement procedures, hedging positions and correspondence with custodian’s and trustees. He is very familiar with the DTC system and the procedures to trade physical bonds and loans. He has traded and has an in-depth knowledge of the deal documents for the below listed asset classes:

  ·         Structured Products

  ·         Electronic Traded Funds (ETF’s)

  ·         Collateralized Mortgage Obligations (CMO’s)

  ·         Private Placement Offerings

  ·         Private Label Asset-Backed Securities (ABS)

  ·         Municipal Bonds

  ·         Equities/Options

  ·         Futures

Mr. Marshburn received his Bachelor of Business Administration degree in Finance and Real Estate from The University of Texas/Austin in 1984.

Expert Witness Consulting

Mr. Marshburn has served as consultant and testified as an expert witness for counsel involved in securities disputes. His engagements entailed the investigation of claims and parties, profit and loss analysis of customer accounts, commission and turnover analysis and damage calculations. He has provided deposition testimony and testified before the applicable hearings.

Licenses and Registrations

CRD # 2239917

Principal/Supervisory Exam

Series 24 (05/23/2006)

National Futures Association Branch Manager Examination

Series 30 (11/22/2002)

General Industry/Product Exam

National Commodity Futures Examination

Series 3 (11/11/2002)

General Securities Representative Examination

Series 7 (06/09/1992)

State Securities Law Exam

Uniform Securities Agent State Law Examination-Series 63 

Uniform Investment Advisor Law Examination-Series 65 (12/01/14)

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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