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.

  • “LEAP” Investment Strategy Tuesday, May 14, 2019

    ChapmanAlbin represented a Massachusetts investor after she suffered losses from her financial advisor’s recommendation to purchase a large life insurance policy, funded an annuity. This investment strategy is known as “LEAP” or the Lifetime Economic Acceleration Process. ChapmanAlbin obtained a favorable settlement on her behalf prior to a FINRA arbitration proceeding.

  • Mellow Mushroom Investment Tuesday, May 14, 2019

    ChapmanAlbin represented an elderly couple against a national broker-dealer firm, after their broker recommended that they invest in a Mellow Mushroom pizza franchise. The Mellow Mushroom franchise never opened and they lost their investment. ChapmanAlbin argued the broker-dealer firm failed to supervise its broker and obtained a favorable settlement on behalf of the investors.

  • Hedge Fund Fraud Tuesday, May 14, 2019

    ChapmanAlbin represented 11 Long Island, NY families against a financial institution, after their retirement savings were stolen in a fraudulent hedge fund scheme. Many of the victims of the fraudulent scheme were Long Island school teachers. ChapmanAlbin was able to obtain a favorable settlement on their behalf prior to a FINRA arbitration proceeding.

  • Forged Margin Agreements Tuesday, May 14, 2019

    ChapmanAlbin represented an Ohio senior investor in an arbitration proceeding against multiple financial institutions after her retirement savings were squandered by a broker’s unsuitable trading of her account and the forging of her signature on margin trading agreements. ChapmanAlbin obtained a settlement of over $600,000 prior to a FINRA arbitration proceeding, which covered almost the […]

  • Online “Pump-And-Dump” Scheme Tuesday, May 14, 2019

    ChapmanAlbin represented an 82-year old widow who moved to America in 1938 to escape Nazi-occupied Germany. Following her retirement, she entrusted her savings with a national online brokerage platform, only to have her savings stolen by a fraudster operating a “pump-and-dump” scheme. ChapmanAlbin recovered a $400,000 settlement with the brokerage firm prior to a FINRA […]