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


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


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


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


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


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


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


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


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.