Featured in ”Public Investors Arbitration Bar Association Journal” for large Awards and punitive damages for Investors
Our Results for Investors Our Results for Brokers
$10,000,000 Defense Verdict
NFA Case
Our firm successfully defended a commodity brokerage in Chicago against claims of $10,000,000 and the case was dismissed after a hearing on the merits.
FINRA Record 11 Expungements
in 1 Arbitration
FINRA Case
We represented brokers in an expungement hearing and the FINRA Panel dismissed 11 customers' claims in an explained Award pursuant to FINRA Rule 2080.
$365,000 Walk Away On Broker Note
FINRA Case
Thomas Law Group represented stockbroker who was a victim of religious discrimination by his brokerage. As a result he was able to walk away from the $365,000 promissory note.
Settled 5 Broker Note Cases In 1 Mediation
FINRA Case
We successfully settled five broker promissory note cases in one consolidated mediation. Our firm worked efficiently with our brokers to get them good results and fair settlements.
Broker Wins $175,000 In Arbitration
AAA Case
Our client, an ex-UBS broker, was awarded over $175,000 in a case where her former brokerage defamed her.
Recent Settlement Over $20,000,000
for Customers
FINRA Case
Represented a group of investors against a major Wall Street firm and obtained settlements for suitability and supervision violations.
Investor Awarded Nearly $1,000,000
FINRA Case
Case involving unsuitable investments, misrepresentation, breach of fiduciary duty and violation of FINRA rules. Our Client was awarded $966,176 including $750,000 in punitive damages. The Arbitration Panel found by clear and convincing evidence that the brokerage committed fraud in customer’s account.
Customer Wins Over $500,000 In Arbitration
FINRA Case
A case of unsuitable investments, churning and failure to supervise. The three man arbitration Panel awarded our Client $510,000. Case demonstrated that the use of documents alone could win without testimony of an investor who was deceased.
Investor Housewife Wins $250,000 Against Brokerage
FINRA Case
Our client was defrauded by brokers and recovered all her losses of $245,000 in an Award which included a $5,000 sanction on brokerage for discovery violations.
Widow Wins Almost $200,000
FINRA Case
Case for unsuitable investments and failure to supervise. Our client was a retiree who was awarded $170,000 for an improper variable annuity bought for her account.