Haselkorn & Thibaut has launched an investigation into James Thomas Chapman (“Tom Chapman”), a veteran financial advisor currently registered with Aragon Family Office LLC based in Alabama. Investors who have worked with Mr. Chapman, particularly during his tenure at Equitable Advisors, LLC (formerly AXA Advisors, LLC), are encouraged to review their account statements and contact us for a complimentary, confidential portfolio review.
Who Is James Thomas Chapman (“Tom Chapman”)?
Table of Contents
- Name: James Thomas Chapman
- Alias: Tom Chapman
- Current Firm: Aragon Family Office LLC, 3036 Independence Drive, Homewood, Alabama
- Prior Firm: Equitable Advisors, LLC (f/k/a AXA Advisors, LLC)
- Registration History: Registered Representative / Investment Advisory Representative (2004–2025)
- Location: Vestavia Hills, AL
As an investor, you trust your financial advisor to act in your best interests. For that reason, being informed about an advisor’s regulatory record is crucial. Here, we provide a complete overview of James Thomas Chapman’s professional history, a summary of client complaints, lawsuits, investigations, and what investors can do if they have concerns about their accounts.
Summary of Findings: Complaints and Disclosures
Our experienced team has conducted a thorough review of public records and regulatory databases, including information available on FINRA BrokerCheck. Below is a summary of the key findings relating to James Thomas Chapman’s career:
| Category | Details |
|---|---|
| Regulatory Disclosures |
|
| Employment History |
|
| Location | Vestavia Hills, Alabama / Homewood, Alabama |
What Should Investors Know?
Investor complaints and regulatory disclosures provide important insights into an advisor’s professionalism and how clients’ concerns have been handled. During Mr. Chapman’s time at Equitable Advisors, LLC, specific complaints have emerged that warrant closer attention:
- Alleged Unsuitable Investment Recommendations: One or more investors have claimed that Mr. Chapman recommended products or strategies that were inconsistent with their risk tolerance or investment objectives.
- Alleged Misrepresentation: There are customer allegations that risks and features of certain investments may not have been fully explained, leading to misunderstandings about how those products performed.
- Supervision Issues: Certain claims suggest a failure in supervisory practices at the branch or firm level, which may have contributed to problematic advice or sales practices.
Not all complaints result in findings against the advisor, but each disclosure is a valuable indicator for current and former clients to review their account activity.
What Are the Red Flags for Investors?
Understand the warning signs. If you worked with Tom Chapman or any advisor and experienced any of the following, your portfolio could be at risk:
- Unexpected account losses or volatility, especially in strategies that do not align with your risk profile
- Inadequate explanation of investment products (annuities, variable contracts, alternative assets, etc.)
- High-volume trading or excessive fees
- Failure to receive regular account updates or reviews
- Pressure to invest in high-commission or proprietary products
If you recognize any of these red flags, it may be time to have your accounts examined by an independent professional.
What Can You Do?
Haselkorn & Thibaut (1-888-994-8066) has over 50 years’ combined experience, a 98% success rate, and millions recovered for investors nationwide. Our attorneys are reviewing options for current and former clients of James Thomas Chapman, Aragon Family Office LLC, and Equitable Advisors, LLC who believe they may have suffered losses due to unsuitable advice or other misconduct.
There is no fee unless we recover for you. Many investors are surprised to learn that losses caused by negligent or improper investment advice can potentially be recovered through FINRA arbitration or mediation—without going to court. Time limits may apply, so contact us today for a free, confidential case review.
Why Choose Haselkorn & Thibaut?
- Specializing exclusively in securities fraud and investment loss recovery
- National reach—serving clients across the United States
- No recovery, no fee: We only get paid if you obtain compensation
- Dedicated team—personalized service for every client
How to Get Your Free Consultation
Every investor situation is unique. Our team can review your statements, correspondence, and investment history to determine if there are grounds for recovery. If you invested with Tom Chapman at Aragon Family Office LLC or Equitable Advisors, LLC and believe you have experienced account issues, take the next step.
Contact Haselkorn & Thibaut today at 1-888-994-8066 or complete a confidential online form at investmentfraudlawyers.com. There is no cost for your case review, and our experienced attorneys are ready to help.
Your financial security deserves attention. Act now to make sure your investments are properly protected.
