The law firm of Thomas Law Group specializes exclusively in arbitration and litigation of securities and commodities disputes primarily on behalf of investors.
Our firm provides a team of attorneys, experts, consultants and others with vast experience in the securities industry. Since 1991 we have represented over 1500 investors nationwide to recover their investment losses. We have represented clients in securities arbitration at the NASD, NYSE and the American Arbitration Association.
Our firm also handles enforcement and disciplinary hearings at the SEC as well as reparations hearings at the National Futures Association and the Commodities Futures Trading Commission. Collectively, our clients have recovered tens of millions of dollars through our assistance and representation in settlement negotiations, mediations, arbitrations and litigation.
The firm's practice focuses principally on the representation of brokerage customers. We also represent stockbrokers and brokerage firms in securities disputes; primarily in mediations, NASD and NYSE arbitrations. 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.
Three Lyons Limited Partnership v. The Harriman Group, et al. Case #97-02274. NASD action for unsuitable investments, misrepresetation, failure to execute, breach of fiduciary duty, and violation of NASD rules. Award of $966,176 including $750,000 in punitive damages. The Panel found by clear and convincing evidence that Respondents committed fraud in the purchase and sale
of securities in Claimant's account.
Estate of James L. Thomas v. Raymond James Financial Services, et al.
NASD action for unsuitable investments, churning and failure to supervise. Award of $510,000. Case demonstrated presentation of documents alone could prevail without testimony of investor who was deceased.
Nicholas v. Fox & Company Investments Inc., et al.
NASD Case # 03-07996Client was defrauded and recouped all losses with $245,000 award which included a $5,000 sanction for brokerage's discovery abuses.
Forster v. Rosen
UBS Financial broker awarded over $175,000 in connection with a claim that her brokerage firm defamed her.
NASD action for unsuitable investments and failure to supervise. Award of $170,000. Finding that Variable Annuities were not suitable for a retiree.
2777 Jefferson Street, Suite 203 Carlsbad, California 92008
Toll Free: 800.797.9888 Phone: 760.720.9600 Fax: 760.720.9690 Email: firstname.lastname@example.org