Last Updated: February 2026 — Vestavia Hills, AL
Here’s what you need to know about Vestavia Hills, Alabama stockbroker James Thomas Chapman:
- Name: James Thomas Chapman
- Alias: Tom Chapman
- Current Employer: Aragon Family Office LLC , 3036 Independence Drive, Homewood, Alabama
- Prior Firms:
- Equitable Advisors, LLC (formerly AXA Advisors, LLC) — Registered Representative / Investment Advisory Representative (2004–2025)
- Other Business Affiliations: None reported
- CRD Number: 4837315
- Stockbroker / Financial Advisor: Yes (formerly FINRA-registered broker; currently an Investment Adviser Representative)
- Can Broker be Sued in FINRA: Yes
- Current Customer Dispute Seeks Total Damages of: Damage amount not yet specified
If you’ve sustained damages from Mr. Chapman, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Tom Chapman as Your Stockbroker?
James Thomas Chapman is the subject of a pending FINRA arbitration filed by a customer of Equitable Advisors who alleges that alternative investments recommended by Chapman were unsuitable for the client’s investment profile. The matter was filed with FINRA on January 20, 2026 and currently pending. A damage amount has not yet been specified.
Claims involving alternative investments often raise concerns about illiquidity, elevated risk, high fees, and whether the investments were appropriate given the customer’s financial situation, objectives, and risk tolerance.
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
Allegations of Broker Misconduct Against James Thomas Chapman
The pending FINRA arbitration asserts the following alleged misconduct:
- Unsuitability
More on REITs and Other Alternative Investments
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other Brokers who worked for Equitable Advisors
If you have suffered investment losses in an account handled by James Thomas Chapman, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.