Forman Bryan T

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Forman, Bryan T, JD

Bryan T Forman

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Attorneys, Bankruptcy Law Attorneys, Bankruptcy Services, Business Law Attorneys, Business Litigation Attorneys, Corporation & Partnership Law Attorneys, Criminal Law Attorneys, Divorce Attorneys, Domestic Violence Attorneys, Employment Discrimination Attorneys, Family Law Attorneys, Labor & Employment Law Attorneys, Legal Service Plans, Sexual Harassment Attorneys

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Phone: (903) 597-2221

Address: 117 E Houston St, Tyler, TX 75702

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Forman Bryan T

Divorce

Fraud
Mr. Forman was born and raised in Tyler, Texas, received his undergraduate degree in Finance at the University of Texas at Austin, and his law degree from Southern Methodist University in Dallas. After practicing law and organizing a broker dealer and investment bank in Dallas, he moved to Austin, Texas where he started a family, served as CEO over a brokerage firm with offices in three states, and after selling his firm, transitioned to the full time practice of law in the securities industry, also serving as a mediator and expert witness. After more than a decade in Austin, and feeling a very strong tie to family, he moved his family back to Tyler to care for an aging Grandmother, and had the wonderful experience of taking care of family and raising two sons on Lake Tyler in East Texas. Moving back home gave Mr. Forman the opportunity to represent the good people of East Texas. He proudly represented hundreds of victims of investment fraud in East Texas, and continues to serve both investors and professionals in East Texas. When his two boys graduated high school, Mr. Forman again felt the pull of Austin, Texas and the unique Hill Country/modern vibe of the re-invented Austin, and now spends most of his time in Austin, representing clients from all over the state of Texas, while also keeping his original office in East Texas to continue serving clients in East Texas, Dallas/Ft. Worth and surrounds.
Embezzlement
Theft by conversion occurs when a person converts the lawfully obtained personal property or funds of another into funds for that person’s own use without permission. In the broker/investor relationship, conversion occurs when a broker uses his/her client’s funds or investments for the broker’s own personal use or in any other unauthorized manner. Conversion is a form of embezzlement that can result in legal action against the broker for misconduct. Brokerage firms are also on the hook in conversion cases for failure to supervise the broker’s conduct and the customer's account. A broker’s conversion of funds may result in civil liability, criminal sanctions, disciplinary actions, and more. An investor harmed by conversion may recover loss of their assets and other applicable damages.
Restraining Order
Before signing such an agreement, most financial professionals don’t recognize the importance and potential consequences of these agreements until they want to leave to join another firm, at which time their employer reminds them of the one-sided agreement they had signed years before. Employment dispute cases typically involve disputes over employment and compensation agreements, solicitation of customers, temporary restraining orders, retirement compensation, stock options, wrongful termination, defamation and disparagement associated with the filing of a Form U-5, raiding and partnership cases, and other disputes frequently arising out of the employment of a financial professional in a regulated industry.
Money Laundering
Legal and regulatory compliance data as required for purposes such as know your client, anti-money laundering, and market abuse regulations requirements, or as part of our client onboarding process, which may include passport or other identification data, date of birth, home address, and other due diligence data.

Business and Corporate Law

Corporate Law
Recruitment – Personal information about job applicants is collected and processed for purposes of screening, identifying, and evaluating candidates for positions; record-keeping related to hiring processes; analyzing the hiring process and outcomes; and conducting background checks, where and to the extent permitted by applicable law, which may also be subject to relevant local recruitment privacy policy. If you are hired by the Firm, this data will be transferred to our employee record files for the purpose of your employment. This is necessary in order to take steps at the request of the job applicant in the context of recruitment prior to entering into a contract. In addition, job applicant data and legal and regulatory compliance data may be used as necessary to comply with legal, regulatory, and corporate governance requirements. Information Sharing
Business Disputes
Mr. Forman serves as a Chairperson Arbitrator and Mediator for FINRA, and was included in the roster of arbitrators and mediators for the NYSE and NFA. Prior to entering the securities industry in 1991, Mr. Forman was engaged in the private practice of law for a large law firm in Dallas, Texas. He has attended basic and advanced mediator and arbitration training, and continues his legal education in the securities regulation and business law fields. He is an active investor.

Wrongful Termination
Forman Law Firm, P.C. represents individual and institutional investors in complaints against the securities industry and investment sponsors of every type, but primarily against stock brokers, registered investment advisers, and sellers and promoters of private investments. Additionally, the Firm represents select registered representatives in enforcement and regulatory matters, employment related disputes, promissory note and loan transactions, wrongful termination, defamation, insurance coverage and indemnity disputes, and arbitration.
Employment Discrimination
An exception to the required industry arbitration occurs where a broker’s dispute involves an issue of employment discrimination, including sexual harassment.
Employment Contract
Many brokers enter into employment agreements when moving to a new brokerage firm, and unfortunately, most brokers do not carefully read the terms of these agreements which are naturally drafted in favor of the brokerage firm. When a dispute arises in the future, or more typically when a broker chooses to move to a new firm, the employment agreements become the focal point of a dispute. In many instances, brokers and advisors will have been paid substantial bonus compensation in the form of a loan which must be paid back over the course of time, and when a broker elects to leave for a new firm, these amounts will become due immediately, and if not paid, an arbitration will be filed. Having an experienced stockbroker attorney will help negotiate to a resolution, and/or present the best defense possible Similarly, disputes often arise over who owns the account related documents, the accounts, the customer contact information, and whether the employment agreement permits the firm enjoining the broker from soliciting any client. It can be critical to move quickly, as your clients’ accounts hang in the balance, and thus your ability to earn a living. The employment agreements signed when the relationship began will have significant impact on a broker’s ability to transport business to a new firm, and get your registration effective quickly so that you can conduct your securities business. Having a seasoned securities lawyer experienced in the nuances of the employment relationship within the brokerage community will be critical to a favorable outcome.
Employment Litigation
While every case is different, most brokerage fraud cases have issues in common. Similarly, when I am representing a broker or adviser in a new employment situation, or in a post-employment dispute, those matters also have similarities. Whether I am representing a victim of broker misconduct or unsuitable recommendations, or whether I am representing a broker that was wrongfully terminated by their employer who later disparage the broker’s reputation on a Form U-5, most clients in this area of the law have the same concerns, the same questions, and the same decisions to make, regardless of the differences in their cases.
Sexual Harassment

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