Recent Successes

Every case is different, and past successes are not indicative of future results.

Due to the fact that FINRA proceedings are confidential, and virtually all settlement agreements include confidentiality clauses, we are not at liberty to disclose the names of the parties or amounts of settlements in FINRA arbitration cases where we reached a settlement with the broker-dealer firms. We reach settlements in many of the cases we file on behalf of our clients.

Pacific Rim Casino Investment

Chapman LLC represented a senior investor whose broker borrowed significant sums of money from her and convinced her to invest in a Vietnamese casino project called Pacific Rim Strategic Partners and a baseball and softball sports complex.  The casino and baseball projects were scams and the loans were never repaid.  Chapman successfully settled her claims against the brokerage firm that was supposed to be supervising its brokers and also against other third parties that participated in the scheme.

Unsuitable Investment Advice

Chapman LLC represented a retired married couple in their FINRA arbitration claims against their brokerage firm.  The couple claimed that their broker and his brokerage firm devastated their retirement by recommending investments that were unsuitable for them in light of their age, income requirements, risk tolerance and time horizon.  Chapman attorneys successfully negotiated a settlement that helped to restore their retirement dreams.


Chapman LLC represented a retired farmer and his wife from the Mid-West who were cold called by a Long Island, New York “bucket shop” broker.  The broker churned the couple’s accounts by unsuitably investing in speculative securities using margin.  The broker also took excessive risks, against the clients’ wishes, by shorting securities.  The broker’s unsuitable and excessive trading (churning) of the accounts generated more than $350,000 in commissions for the broker while causing significant losses to the customers’ accounts.  […] Read more.

Nationwide Penny Stock Fraud

Chapman LLC represented two groups of investors from Ohio in separate FINRA arbitration claims that were filed against two brokerage firms who were alleged to have failed to supervise their respective registered representatives’ participation in a nationwide penny stock fraud scheme.  The brokers who were alleged to have participated in the penny stock fraud scheme were indicted by the United States Department of Justice and charged civilly by the United States Securities and Exchange Commission (SEC).  Chapman attorneys successfully […] Read more.

Unsuitable Bonds

Chapman LLC represented an Ohio senior investor who was over-concentrated in risky individual bonds. Chapman LLC argued the bonds were unsuitable for an investor of his age, experience, and risk tolerance. Chapman LLC recovered $55,000 for the investor.