Thomas Law Group represents customers who have been victimized by stockbroker misconduct.
Thomas Law Group also represents registered representatives in FINRA and SEC disciplinary matters as well as Form U5 issues and employment disputes.
Our firm provides a team of attorneys, expert witnesses and paralegals with vast experience in the securities and commodities industries. Since 1991 we have represented over 2,000 clients nationwide to recover their investment losses.
We represent clients in arbitration at FINRA which is the regulator for over 3,000 brokerages and nearly 650,000 stockbrokers. We also handle investment cases in court, the National Futures Association (NFA), Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC).
Our representation of customers relates to abuses such as investment suitability, excessive trading (also known as churning), misrepresentation, unauthorized trading, negligence, breach of fiduciary duty and failure to supervise. When we represent brokers, the issues are promissory note issues, discrimination, sexual harassment, defamation, beach of contract, Form U5 disclosures and other disputes with the broker’s firm.