Types of Claims

• Misrepresentation, non-disclosure, omissions, and misleading claims and advertising
• Fraud and consumer fraud
• Churning
• Unsuitability
• Unauthorized trading
• Breach of fiduciary duty
• Failure to execute orders
• Negligence
• Unregistered brokers or securities
• Guarantees and promises
• Bad advice or research
• Margin violations
• Firm liability
• Account transfer problems
• Clearing broker liability
• Breach of contract
• Failure to keep adequate records
• Violation of NASD or Exchange rules

About Donald Thompson

• Licensed to practice law by the Supreme Court of Illinois, U.S. District Court in Chicago, U.S. Circuit Court of Appeals in Chicago, and U.S. Tax Court
• Member of Federal Trial Bar
• Arbitrator for Financial Industry Regulatory Authority
• 1966 graduate of University of Chicago Law School
• Former assistant professor at IIT Chicago- Kent College of Law
• Former chair of Chicago Bar Association Corporation and Business Law Committee

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Other Information

• About arbitration
• Statutes of limitation
• Damages

Donald M. Thompson * 55 W. Monroe #3950; Chicago, IL 60603
Ph: 312-782-0844 * Fax: 312-201-1436 * Email: donthompsonlaw@sbcglobal.net

© Copyright 2006-11 Chicago Lawyer Donald M. Thompson