Bryan T. Forman

Bryan T. Forman is a licensed Texas attorney with offices in Austin, Texas and Tyler, Texas. He has been engaged in the private practice of law since 1987, and has spent the majority of his career in the brokerage industry, serving as Chief Executive Officer and General Counsel for brokerage firms which he founded. Concurrently, he gained experience in the private equity field, founding a private equity hedge fund whose strategy was private equity investments into public companies. His legal practice is focused on representing public investors and market participants in the securities industry. Mr. Forman received his Juris Doctor degree from Southern Methodist University School of Law in 1987, and his Bachelor of Business Administration degree in Finance from The University of Texas/Austin in 1984.

• Investment Fraud
• Churning
• Failure to Follow Directions
• False Statements & Omissions
• Mutual Fund Fraud

• Free Consultation
• Credit Cards Accepted
• Contingent Fees
  For select cases we will accept contingency fees.
• Rates, Retainers and Additional Information
  In most cases, clients will be responsible for certain court costs and expenses.

Texas

Since 1987

Founding Partner

Forman Law Firm, P.C.

2002 - Current

Chairman & CEO

First Financial Investment Securities

1994 - 2002

SMU Dedman School of Law

J.D.

1987

University of Texas - Austin

B.B.A. | Finance

1984

Texas State Bar  # 07258800

Member

Current

American Bar Association Section on Dispute Resolution

Member

Current

Smith County Bar Association

Member

Current

Dallas Bar Association

Member

Current

Public Investors Arbitration Bar Association

Member

Current

Supervision In The Brokerage Industry: The Devil Is In The Details

Dallas Bar Association

2004

Smith County Bar Association, "Investors Claims/Defenses in NASD Arbitrations", February 11, 2005

National Regulatory Services, "Updating Your Risk Management System to Meet New Regulation"; 19th Annual Spring Compliance Conference, April 13-16, 2004

Houston Bar Association, "Supervision in the Brokerage Industry", Presented to the Securities Litigation & Arbitration Section, September 18, 2003

Dallas Bar Association, "Broker Supervision: New Rules and Perspectives for Claimants' Counsel and Defense Counsel", January 26, 2004

State Bar of Texas, "Books and Records Compliance, Including Supervision", March 24, 2004

Credentialed Advanced Mediator

Texas

Mediator and Chairperson Arbitrator

NASD

Q. How serious is it if somebody who has a series 7 license opens an account in my mine and then cashes out the profits?

March 16, 2020

A: Your situation involves a number of things which could result in the bank and/or broker dealer being held responsible, including identity theft, borrowing/lending to customers, theft and conversion, forgery, unauthorized trading, failure to supervise, and perhaps other claims depending on a more detailed understanding of the facts. Most institutions have one or two step verification procedures for changes, liquidations, etc. Rather than expect answers from your husband, you should deal directly with each institution, and possibly with the FBI. The criminal authorities may be less likely to try and recover your money. If the financial institutions are unwilling to refund your funds, you should consider pursuing recovery from those institutions. If any of the transactions were done through an electronic funds transfer, the EFTA would provide recovery, but that Act has certain timing and notification requirements, so don't delay.

Good luck. ... Read More