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.
ChapmanAlbin 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 […]
ChapmanAlbin represented an Ohio senior investor who was over-concentrated in risky individual bonds. ChapmanAlbin argued the bonds were unsuitable for an investor of his age, experience, and risk tolerance. ChapmanAlbin recovered $55,000 for the investor.
ChapmanAlbin represented investors from Northern California and Wilmington, North Carolina in two separate actions in the now-notorious “Private International Wealth Management” (“PIWM”) scheme, masterminded by Nikolai Battoo. In one case, ChapmanAlbin sued a national brokerage firm for failing to supervise its employee, Dennis Edmonds, who told customers their money would be safe at PIWM and […]
ChapmanAlbin represented 11 Ohio individuals who were defrauded by their trusted, long-time financial advisor, Philip Rossi. Their advisor assured them he could safely invest their retirement savings in municipal bonds. Based on his assurances, the investors entrusted Rossi with their money. Rossi issued periodic statements to his customers, showing supposed increases in their government bond […]
ChapmanAlbin represented more than 50 people who collectively lost millions due to Aubrey Lee Price’s fraudulent “PFG” investment fund. ChapmanAlbin brought claims against a large national brokerage firm alleging that it failed to supervise Justin Zegalia, Tim Cannady, and Aubrey Lee Price, its registered representatives that sold the illegal, unregistered PFG securities from its branch […]
ChapmanAlbin represented a minority shareholder of a company which was diverting his distributions into a shell company. These distributions were then paid to the majority shareholder and his secretary at the exclusion of the minority shareholder. The jury awarded $256,576 to our client for his losses.
ChapmanAlbin represented 15 Ohio investors who invested in an illegal unregistered offering from Inkstop, Inc., a national distributer of printer ink and other office supplies. Chapman Albin’s clients invested in the company relying upon audited financial statements prepared by a national accounting firm. ChapmanAlbin alleged that the firm was negligent in preparing audits for InkStop […]
This site contains attorney advertising. The attorneys at ChapmanAlbin are licensed to practice law in Ohio and Michigan. Any reference to past cases or successes made herein should not be construed as a guarantee of any future outcome. Each client and each client’s case is unique, and no result or outcome is or can ever be guaranteed. The information provided in this website is offered for general information purposes only; it is not offered as and does not constitute legal advice in any way. // Disclaimer