Thomas Law Group is a nationally recognized law firm specializing in securities arbitration and investment fraud litigation, representing both investors and financial professionals. With a distinguished track record of recovering over $100 million for clients, the unique advantage of having attorneys with firsthand Wall Street experience, the firm stands out for its deep industry insight and aggressive advocacy in complex disputes.
Since 1991, the firm has represented over 2,000 clients across the United States, focusing primarily on victims of stockbroker misconduct and brokers facing employment-related issues. Their team combines legal expertise with industry knowledge to handle cases involving FINRA, SEC, NFA, and CFTC proceedings, offering personalized representation aimed at recovering losses and protecting professional reputations.
Services Offered
- Securities arbitration
- FINRA arbitration
- Investment fraud litigation
- Representation in stockbroker misconduct cases
- Excessive trading (churning) claims
- Misrepresentation and unauthorized trading cases
- Negligence and breach of fiduciary duty claims
- Failure to supervise disputes
- Broker representation in employment disputes
- Promissory note cases
- Disciplinary actions
- Discrimination and defamation claims
- U-5 issues
- Wrongful termination cases
- Enforcement and disciplinary hearings at FINRA and SEC
- Commodities industry disputes
- Arbitration at American Arbitration Association (AAA)
- National Futures Association (NFA) proceedings
- Commodity Futures Trading Commission (CFTC) cases
- Superior and Federal court litigation
- Settlement negotiations and mediations
The firm serves clients nationwide from offices in Carlsbad, California and Honolulu, Hawaii, leveraging its extensive network and experience to achieve favorable outcomes in some of the most challenging financial and regulatory disputes.
