Table of Contents
- Floyd R. Chapman
- Business Lawyer
- High Court Supports the Fight against Unsolicited Text Messages
- U.K. Begins to Advance Protection of Whistleblowers
- OSHA Issues New Guidelines for Whistleblower Case Settlements
- Local EB-5 VISA Fraud
- One-year statute of limitations – Embezzlement
- National Whistleblower Appreciation Day
- Federal Anti-kickback Statutes
- Regulatory Compliance: It’s the Little Things…
- Fair Chance – Washington
- WA Consumer Protection Law applies extraterritorially
Floyd R. Chapman
Floyd has a diverse securities background and legal career as a marketing director, corporate compliance officer, and private attorney. He is nearing his 30th year in the securities industry and 11th year as a licensed attorney. He trained registered representatives on new financial products as a marketing director, lead corporate internal investigations and audits for market conduct compliance in multiple jurisdictions, and currently represents clients in state and federal courts.
Floyd has a unique problem solving approach drawn from the uniqueness of his educational experience. He completed his undergraduate degree through a scholarship based learning environment and conducted research on urban economic development from The Union Institute and University. He earned his law degree from Concord Law School in a similar non-traditional fashion and served on The State Bar of California Committee of Bar Examiners for a four year term, retiring in 2011. He has the CLU and ChFC designations from The American College in Bryn Mawr PA.
Floyd believes in public service and making positive contributions to society, receiving from the San Francisco Bar Association in 2006 their “Outstanding Volunteer in Public Service Award” from The Volunteer Legal Services Program. He served on the Board of Directors of the Hawaii Life and Disability Insurance Guaranty Association in 2014 and currently provides pro bono legal services to American military veterans suffering from service connected disabilities.
Floyd provides strategic planning and advisory services to individuals, government and non-governmental organizations, small public companies, and growing private enterprises in need of capital and advisory services, both in the United States and abroad. He is a principal and managing director of NMS Capital Advisors, LLC, a FINRA member broker dealer, and a Registered Investment Adviser with NMS Capital Asset Management, Inc. He is admitted to practice law in California and Washington State courts and the United States District Court, Western District of Washington.
Floyd R. Chapman
Floyd is of counsel with the firm
Floyd attempts to respond without charge to all short email questions. Please do not send any confidential information unless you have formally established an attorney client relationship with Mr. Chapman and/or our firm.
Licenses and Certifications
Attorney at Law, Washington State
Attorney at Law, California
Chartered Life Underwriter
Chartered Financial Consultant
State Court Admissions
Juris Doctor, Concord Law School Los Angeles, California (2003)
Bachelor of Arts, Business Administration, The Union Institute, Cincinnati, Ohio (1994)
Regulatory penalties can be devastating for a company, yet many companies, especially small companies, fail to plan for or devote resources to regulatory compliance. These companies can be confused and incredulous when they become the focus of investigations or sanctions and may delay responding until their very existence is at stake. Proper counsel can help companies understand regulators’ focus which helps them to prepare for and address compliance issues in a timely manner.
Under the CPA an out-of-state plaintiff may bring a claim.against a Washington corporate defendant for allegedly deceptive acts. Similarly, an out:of-state plaintiff may bring a CPA claim against an out-of-state defendant for the allegedly deceptive acts of its in-state agent.