Austin Investor Wins $2.8 Million in
Arbitration on Claims Under
The Texas Securities Act
Arbitration on Claims Under
The Texas Securities Act
Grapevine, Texas
Grapevine, TX, is a dynamic city positioned conveniently between Dallas and Fort Worth. Known for its picturesque wineries and historic charm, the city offers a blend of culture, history, and modern amenities. Its Main Street Historic District features beautifully preserved architecture, local shops, and excellent dining options, making it a favorite spot for both locals and tourists. Grapevine’s wine industry is a central draw, and events like the popular GrapeFest celebrate this rich heritage. With its combination of small-town charm and proximity to major urban centers, Grapevine provides an ideal mix of tradition and growth, and more and more financial professionals are making Grapevine their home.
Some of the stockbrokers and investment advisors located in Grapevine are:
| National Firms | Regional Firms | Small (Boutique) Firms |
| Merrill Lynch 601 State St Southlake TX 76092 | Mesirow Financial, Inc. 910 Shadywood St. Southlake, TX 76092 | Edward Jones 2200 Pool Road Suite 101 Grapevine, TX 76051 |
| Wells Fargo Advisors Fin’l Network 550 Reserve St. 5th Fl Southlake, TX 76092 | Ameriprise Financial Services LLC 1084 W Winding Creek Grapevine, TX 76051 | LPL Financial LLC 611 S Main St Suite 701 Grapevine, TX 76051 |
| Raymond James & Assoc. Inc. 129 S Main St. Suite 260 Grapevine, TX 76051 | BOK Financial Securities, Inc. 2250 State Hwy 114 W. Grapevine, TX 76051 | Signal Securities, Inc. 601 S. Main St. Suite 202 Grapevine, TX 76051 |
| Charles Schwab & Co. Inc. 1524 E. Southlake Blvd. Southlake, TX 76092 | Stifel, Nicolaus & Co. Inc. 550 Reserve St. Southlake, TX 76092 | Lion Street Financial, LLC 566 N Kimball Ave Suite 110 Southlake TX 76092 |
| J.P. Morgan Securities LLC 1100 William D. Tate Ave. Grapevine, TX 76051 | Truist Investment Services, Inc. 2450 Hall-Johnson Rd. Grapevine, TX 76051 | |
| Fidelity Brokerage Services LLC 820 E Dove Loop #1227 Grapevine, TX 76051 | Sunbelt Securities, Inc. 370 S Nolen Drive Suite 100 Southlake, TX 76092 | |
| Morgan Stanley Financial Advisors 1400 Civic PL Suite 200 Southlake, TX 76092 | Robert W Baird & Co. Inc. 228 Woodsong Way Southlake TX 76092 |
Placing your hard-earned funds anywhere in the investment marketplace is a challenge. Before placing your money with a stockbroker or investment advisor, it’s critical to have several detailed discussions about your comfort with risk and market volatility.
If financial matters aren’t your strong suit, don’t hesitate to ask plenty of questions. A crucial one is whether the investment professional will manage your account with “discretion”—meaning they can make decisions without prior approval—or if they will need to consult you before making any trades. Always ensure their investment approach is clear and that you receive a written breakdown of the potential risks.
If their explanations don’t make sense, or you feel uneasy, it’s wise to ask for clarification or look for a professional who communicates in a way you can understand. As the saying goes, “Whoever has the gold makes the rules,” and in this case, it’s your gold—so stay in control. It is a good idea to have your investment professional create an investment policy that spells out what levels of trading and risk you are willing to accept. If that cannot be done, make sure you write down and keep contemporaneous notes of your conversations on those topics with dates and times. Many firms record broker calls so date and time will make it easier to recover recordings if necessary.
Even seasoned investors can be caught off-guard by misconduct committed by someone they have placed their trust (and their money) with. This misconduct can come in many forms, such as false information, omitted details in private investments, dubious oil and gas deals, risky day trading, unauthorized transactions, or excessive trading intended to rack up fees, a practice known as “churning.” See our information about churning that can be accessed on the Home Page.
If you live in the Grapevine area and suspect that your broker or financial advisor has violated your agreed limits or acted unethically, visit our FAQ page. It provides in-depth information on different types of fraud and misconduct common in the financial world.
Securities law is a very specialized area of law practice that requires a lawyer with the right background and experience. Firm founder, Bryan T. Forman is a licensed Texas attorney. He has been in practice since 1987 and spent most of his career in the brokerage industry serving as CEO and General Counsel for brokerage firms which he founded. Mr. Forman is experienced in all aspects of securities law whether the client is a brokerage firm customer, a stockbroker, or other market participant. At Forman Law Firm P.C., we’re committed to helping you figure out whether any unlawful actions have caused losses in your investment accounts.
With offices in Austin, and Tyler, Texas, the Forman Law Firm, P.C. focuses on securities arbitration, mediation, and litigation. The firm also assists brokers and advisors in regulatory and enforcement proceedings and employment matters, but we normally do NOT defend a broker or advisor for damages claimed against them by one or more of their clients.
If you suspect that broker fraud, misconduct, or mismanagement is responsible for any financial harm, reach out to Forman Law Firm P.C. today for a confidential, no-cost case evaluation. Call us at (866) 597-2221, email info@formanlawfirm.com, or use our online “Contact Us” form to get in touch.
Investors in the Southlake or Grapevine area who have been harmed by a broker’s bad actions should review our current Investigations page for details of a situation in your area.