Frequently Asked Questions

While every case is different, most brokerage fraud cases have issues in common. Similarly, when I am representing a broker or adviser in a new employment situation, or in a post-employment dispute, those matters also have similarities. Whether I am representing a victim of broker misconduct or unsuitable recommendations, or whether I am representing a broker that was wrongfully terminated by their employer who later disparages the broker’s reputation on a Form U-5, most clients in this area of the law have the same concerns, the same questions, and the same decisions to make, regardless of the differences in their cases.

For every client, whether investor or professional, there are common questions about process, jurisdiction, venue, arbitration, discovery, depositions, costs, damages, confidentiality, and ultimately, is my case worth pursuing. Here are some common questions:

· What is Forman Law Firm’s experience and record of success?

· Can you represent me if I don’t live in Texas?

· Will my case be heard in arbitration or litigation?

· How long do I have to bring my claims?

· Where will my case be tried?

· Will my deposition be taken?

· What is the difference between arbitration and litigation?

· What were the broker’s duties to me?

· What is the difference between an investment adviser and stockbroker?

· What is mediation?

· Do I have a winning case?

· How does settlement work?

· What are the tax consequences?

· Can they do anything to me?

· Will my case be confidential?

· Can I negotiate some garden leave provisions in my contract?

· What arbitration provisions should I use as an investment adviser?

· How do I comply with the Broker Protocol?

· Does the language on my Form U-5 hurt my reputation?

· How will my CRD be affected?

Many prospective clients have the same or similar questions as others in your situation. We have tried to list some of the more frequently asked questions, but each person’s case usually has many differences, and it is impossible to address every question a prospective client may have. Most importantly, your case will be reviewed different from any other, and your personal questions about your specific case are the ones we care most about. We welcome your personal inquiry by telephone, email, or in person- we will be happy to answer any questions you may have.

We provide all prospective clients with as many free consultations as necessary for us to determine whether you have a case that should be pursued, or whether you need immediate representation. Give us a call, we will be honored to visit with you, confidentially, about your case and answer your questions.