Stockbroker Misconduct

Florida Stockbroker Misconduct Attorneys

Often investors are embarrassed after a stockbroker has taken advantage of them. Yet, because of the complexity of financial products and practices, even sophisticated investors can be victimized by securities fraud, investment fraud or stockbroker misconduct. It can be very difficult to ascertain whether your stockbroker is taking advantage of you. That is where we come in. Our skills and effective methods have aided clients in preventing and detecting stockbroker misconduct.

Contact the Miami-South Florida attorneys at DIMOND KAPLAN & ROTHSTEIN, P.A., today for a free consultation and case evaluation.

Stock brokerage firms and stock brokers have specific duties which are owed to investment clients. Breach of these duties is negligence. DKR's attorneys have brought claims against stockbrokers and brokerage firms for broker misconduct involving stocks, options, variable annuities, hedge funds, restricted stocks, mutual funds, corporate bonds, collateralized mortgage obligations (CMOs), municipal bonds, futures, unit investment trusts and asset backed securities.

The stock fraud lawyers at DKR represent individual and corporate investors who have investment losses because of stockbroker fraud and brokerage firm fraud and misconduct. Our firm aggressively pursues stockbrokers and stock brokerage firms for investment fraud and other common types of stockbroker misconduct, such as:

• Breach of fiduciary duty
  
• Fraud
  
• Negligence
  
• Misrepresentation
  
• Breach of contract
  
• Negligent hiring, supervision or retention of brokers
  
• Unauthorized trading
  
• Churning
  
• Excessive margin borrowing
  
• Improper investments/unsuitable securities
  
• Analyst conflicts
  
• Violations of Florida and other state securities or "blue sky" laws.

DKR's lawyers have unparalleled experience representing clients in securities arbitrations in South Florida, across the United States, and abroad. Our firm has assisted in the recovery of millions of dollars on behalf of individual and corporate victims of investment fraud in South Florida, and throughout the United States, Central America, South America and Europe. We are trusted throughout the industry and among colleagues. Many of our clients have been referred to us by accountants, estate planning attorneys, and other professionals. More about securities arbitration:

• The Arbitration Process
• Typical Arbitration Results

Attorney Jeffrey Kaplan has internal brokerage firm experience, having worked for the international brokerage firm Shearson Lehman Brothers, Inc., where he developed asset allocation models and investment proposals for high-net-worth individuals. Since 1997, Mr. Kaplan has limited his securities practice exclusively to representing investors bringing claims for broker and brokerage firm misconduct.

Attorney Scott Dimond spent the first five-and-one-half years of his career with Morgan Lewis & Bockius, LLP, one of the nation's largest law firms, defending securities arbitration claims on behalf of large brokerage firms such as Merrill Lynch, Pierce, Fenner & Smith, Inc., Bear, Stearns & Co. Inc., and Oppenheimer & Co. Since 1999, however, Mr. Dimond has limited his securities practice to the representation of investors bringing claims for stockbroker fraud and brokerage firm misconduct.

Contact us for Professional Stockbroker Misconduct Representation

If you have suffered sizeable investment losses because of stockbroker fraud, or if you suspect stockbroker misconduct in Fort Lauderdale or throughout the nation, talk to an experienced stockbroker misconduct attorney at our law firm immediately to protect your interests. Call 1-888-578-6255 or e-mail us to schedule a consultation.