Investors might have sustained losses due to securities broker James Thomas Chapman (also known as Tom Chapman) [CRD: 4837315, Vestavia Hills, Alabama], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Chapman worked for Equitable Advisors LLC from September 28, 2004, to December 11, 2025. See the following information to discover more about allegations disclosed through FINRA BrokerCheck involving Chapman.
Evidently, on January 20, 2026, an Equitable Advisors LLC client filed FINRA Arbitration No. 26-00140 about James Chapman. Primarily, the client alleged that Chapman made unsuitable recommendations involving alternative investments. For this reason, the client allegedly suffered damages. As a result, the client requested compensation from Equitable Advisors LLC or Chapman. BrokerCheck indicates that this arbitration awaits a resolution.
Unsuitable alternative investment allegations generally involve claims that a securities broker or financial advisor recommended investments that did not match a client’s financial needs, objectives, risk tolerance, or investment experience. Alternative investments can include products that are complex, illiquid, speculative, or difficult to value. Clients sometimes claim they were not fully informed about risks, fees, liquidity restrictions, or possible losses before investing in these products.
Did you suffer any investment-related losses because of James Chapman? Get in touch with Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of individuals throughout the US. Also, our securities lawyers handle cases on a contingency fee basis and advance all costs. Chapman and brokerage firms Chapman worked for deny accusations of sales practice violations.
Steven Graham (CRD 1977736) denies the allegations in a pending customer claim filed on August 11, 2026. The disclosure names Western International Securities as the firm, and the claim involves corporate bonds. No arbitrator has ruled on it. His BrokerCheck report also lists a settled bond dispute and a federal court matter from earlier years.
A claim filed on September 11, 2024 names Thomas Hamlin (CRD 2208505) over a 10% Senior Unsecured Note in iCap Fund III. Every disclosure on his BrokerCheck report involves an iCap private placement and names Somerset Securities as the firm. Each one settled, and a settlement is not an admission of wrongdoing.
Peter Po's most recent settlement came on June 28, 2026, when a corporate bond claim settled for $40,000. Po (CRD 3106974) appears in several settled customer disputes over corporate and high-yield bonds. The disclosures name NI Advisors or California Securities as the firm, and each matter ended in a settlement, not a finding.
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