Thomas Law Group specializes exclusively in arbitration and litigation of securities and commodities disputes primarily on behalf of investors.
We also represent brokers who have employment disputes with their firms. Our firm provides a team of attorneys, experts and consultants with vast experience in the securities and commodities industries. Since 1991 we have represented over 1,500 clients nationwide to recover their investment losses.
We represent clients in arbitration at FINRA which is the regulator for over 3,000 brokerages and 700,000 stock brokers. We also handle investment cases in court as well as the National Futures Association (NFA), and the U.S. Commodity Futures Trading Commission (CFTC).
Our firm also handles enforcement and disciplinary hearings for brokers at FINRA and the SEC. Collectively, our clients have recovered over $50 million with our assistance and representation in settlement negotiations, mediations, arbitrations and litigations.
Our representation of customers relates to abuses such as unsuitable recommendations, excessive trading (commonly referred to as churning), misrepresentation, unauthorized trading, negligence, breach of fiduciary duty and failure to supervise. The broker cases we handle primarily deal with promissory notes, discrimination, sexual harassment, defamation, beach of contract, U‑5 problems and other disputes with the broker’s firm.