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Securities Fraud and
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Practice Areas

Representing investment and securities fraud and stockbroker misconduct victims in Miami, Los Angeles, New York and Nationwide

Dimond Kaplan & Rothstein Law Firm’s attorneys have in-depth experience handling a broad range of legal disputes. We are an AV-rated* litigation boutique whose attorneys have worked for some of the country’s largest and most prestigious law firms, where we learned, and now continue to hone, the sophisticated legal strategies and practical demands of complex litigation.

Our objective is to protect your interests, resolve your legal dispute, and achieve your goals as quickly and efficiently as possible. We maintain offices in Miami, West Palm Beach, Los Angeles, and New York. To learn more about our legal services, call Dimond Kaplan & Rothstein lawyer at 888-578-6255 or feel free to browse through our website.

Our practice areas include the following:

Investment Fraud and Stockbroker Misconduct

Our law firm’s securities lawyers have significant experience handling NASD, FINRA, NYSE, AAA, and Pacific Stock Exchange securities arbitrations and securities litigation in state and federal court. We have handled cases throughout the United States and Latin America involving a broad range of securities, including but not limited to: stocks, bonds, options, hedge funds, exchange-traded funds (ETFs), private placements, mutual funds, derivatives, currencies, and commodities.

We have brought claims involving various forms of broker and brokerage firm misconduct, including but not limited to claims based on the following:

  • Breach-of-contract
  • Breach fiduciary duty
  • Fraud
  • State and Federal securities laws
  • Misrepresentation
  • Omissions
  • Negligence
  • Negligent supervision
  • Churning
  • Unsuitable investments
  • Unauthorized trading
  • Over-concentration

Our securities attorneys have helped clients recover more than $100 million in investment losses.

Securities Fraud and Consumer Class Actions

DKR has broad-ranging and in-depth class-action experience, both in the prosecution and defense of such matters. Our lawyers have participated in state and national class actions involving securities, insurance, receiverships, anti-competitive conduct, RICO, the Truth-in-Lending Act, the Fair Labor Standards Act, the Florida Securities and Investor Protection Act, the Florida Deceptive and Unfair Trade Practices Act, and other consumer protection statutes.

Some examples of our experiences are:

  • A securities class action settlement of $150,000,000
  • A $6,000,000 recovery in a RICO-based class action
  • A nearly $10,000,000 settlement in a negligence-based class action on behalf of Ponzi-scheme victims
  • A $13,000,000 settlement of a class action brought under the Florida Securities and Investor Protection Act involving the sale of securities by an unlicensed dealer
  • A $50,000,000 recovery on behalf of Sears, Roebuck and Co. customers relating to alleged improprieties in the sale of credit insurance.

Commercial and Business Litigation

DKR’s lawyers have extensive experience litigating a broad range of commercial and business disputes, involving, among other things, the following:

  • Breach-of-contract
  • Real estate
  • Land use
  • Landlord-tenant
  • Realtor commissions
  • Lender liability
  • Insurance coverage
  • Insurance bad-faith
  • Lanham Act
  • Contests for corporate control
  • Corporate divorces
  • Franchise litigation
  • Director and officer liability
  • Errors and omissions
  • RICO
  • Legal and accounting malpractice
  • Construction defects
  • Commercial
  • Intellectual property
  • Non-compete and other foreclosure
  • Employment litigation

Our lawyers have litigated and tried cases in state and federal courts, bankruptcy courts, private arbitration forums, and state and federal appellate courts. Dimond Kaplan & Rothstein’s lawyers have assisted the firm’s commercial clients in the recovery of in excess of $100 million.

Whistleblower Claims

Before you report your employer’s tax, securities, or regulatory violations, you should consult an attorney to make sure you are afforded all of the protections available to you under the law.

Broker and Securities Employment Disputes

Our securities lawyers have worked in the securities industry prior to attending law school. We represent securities industry professionals in employment disputes with banks and brokerage firms. The types of disputes that we have handled include: the failure to pay appropriate bonuses, promissory note cases, and U4 and U5 expungement cases.

Contact us today at 888-578-6255 for a free consultation about your legal dispute.

Criminal Defense

Criminal defense legal matters can be complicated. They can also be a source of major stress for our clients and their families. At DKRPA, our AV-rated criminal defense attorney Michelle Suskauer helps families through these challenging legal procedures, providing direction and support while effectively developing the strongest possible strategy for each case. With more than 20-plus years of experience, she has participated in hundreds of criminal defense trials, both jury and non-jury.

Contact us today at 888-616-4332 for a free consultation about your legal case.