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.

  • Nationwide Penny Stock Fraud Tuesday, September 6, 2016

    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 […]

  • Unsuitable Bonds Tuesday, September 8, 2015

    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.

  • PIWM Tuesday, September 8, 2015

    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 […]

  • Philip Rossi – Tax Free Bond Scheme Tuesday, September 8, 2015

    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 […]

  • PFG Fund Tuesday, September 8, 2015

    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 […]