Investment Fraud &
Stockbroker Misconduct Attorneys

Serving Clients throughout Miami, Los Angeles, New York City, and Nationwide

Can I Sue My Stockbroker or the Brokerage Firm to Recover My Investment Losses?

Contact a securities fraud attorney at Dimond Kaplan & Rothstein, P.A. today. Our team of investment fraud attorneys represent victims of securities fraud and stockbroker misconduct.

Our securities fraud lawyers have helped individual and institutional investors recover more than $100 million from some of the largest banks and brokerage firms in the world, including Morgan Stanley, UBS, Merrill Lynch, Wells Fargo, Wachovia, Raymond James, Prudential, JP Morgan Chase, Deutsche Bank, and Credit Suisse.

Do you have a case? Contact an experienced investment fraud attorney at Dimond Kaplan & Rothstein for a free consultation. We represent investors through the United States and Latin America in securities arbitration and securities fraud disputes from our offices in Miami, West Palm Beach, Los Angeles and New York.


We help investors with these and other investment fraud and stockbroker misconduct cases:

  • Unsuitability claims if your broker recommended and sold you securities that were not consistent with your investment objectives or your risk tolerance
  • Improper asset allocation or lack of diversification of the assets in your account
  • Margin losses involving involuntary liquidation of securities to pay off amounts borrowed from the brokerage firm
  • “Churning” or excessive trading by the broker to generate commissions
  • Misrepresentations or non-disclosure of facts about an investment and its risks
  • Unauthorized trading
  • Other stockbroker misconduct ranging from failure to follow your instructions to outright theft of client funds and Ponzi schemes

Do You Have to Bring Your Complaint Through Securities Arbitration?

The likely answer is yes. You probably signed an agreement with the brokerage firm saying that binding arbitration (rather than court) would be the exclusive means to address claims of stockbroker negligence, investment fraud, or other misconduct by your broker or brokerage firm. An experienced securities fraud attorney will help you find the answer.

The securities fraud lawyers at Dimond Kaplan & Rothstein have significant experience representing investors in FINRA securities arbitration proceedings. To learn more about contacting a securities fraud attorney, securities arbitration, or for a free consultation with an investment fraud attorney about your rights if you are an investment fraud victim, contact Dimond Kaplan & Rothstein in Miami, West Palm Beach, Los Angeles and New York.

Free Consultation ▪ Se habla Español ▪ Nós falamos o Português


We help investors with these and other investment fraud and stockbroker misconduct cases:

  • Unsuitability claims if your broker recommended and sold you securities that were not consistent with your investment objectives or your risk tolerance
  • Improper asset allocation or lack of diversification of the assets in your account
  • Margin losses involving involuntary liquidation of securities to pay off amounts borrowed from the brokerage firm
  • “Churning” or excessive trading by the broker to generate commissions
  • Misrepresentations or non-disclosure of facts about an investment and its risks
  • Unauthorized trading
  • Other stockbroker misconduct ranging from failure to follow your instructions to outright theft of client funds and Ponzi schemes

Do You Have to Bring Your Complaint Through Securities Arbitration?

The likely answer is yes. You probably signed an agreement with the brokerage firm saying that binding arbitration (rather than court) would be the exclusive means to address claims of stockbroker negligence, investment fraud, or other misconduct by your broker or brokerage firm.

The securities fraud lawyers at Dimond Kaplan & Rothstein have significant experience representing investors in FINRA securities arbitration proceedings. To learn more about contacting a securities fraud attorney, securities arbitration, or for a free consultation with an investment fraud attorney about your rights if you are an investment fraud victim, contact Dimond Kaplan & Rothstein in Miami, West Palm Beach, Los Angeles and New York.

Free Consultation ▪ Se habla Español ▪ Nós falamos o Português


Investment Fraud &
Stockbroker Misconduct Attorneys

Serving Clients Throughout Miami, Los Angeles, New York City, and Nationwide

Can I Sue My Stockbroker or the Brokerage Firm to Recover My Investment Losses? (Em Português)

Yes, the securities law attorneys at Dimond Kaplan & Rothstein, P.A. represent victims of securities fraud and stockbroker misconduct.

Our lawyers have helped individual and institutional investors recover more than $100 million from some of the largest banks and brokerage firms in the world, including Morgan Stanley, UBS, Merrill Lynch, Wells Fargo, Wachovia, Raymond James, Prudential, JP Morgan Chase, Deutsche Bank, and Credit Suisse.

Do you have a case? Contact an experienced investment fraud lawyer at Dimond Kaplan & Rothstein for a free consultation. We represent investors through the United States and Latin America in securities arbitration and securities litigation disputes from our offices in Miami, West Palm Beach, Los Angeles and New York.


We help investors with these and other investment fraud and stockbroker misconduct cases:

  • Unsuitability claims if your broker recommended and sold you securities that were not consistent with your investment objectives or your risk tolerance
  • Improper asset allocation or lack of diversification of the assets in your account
  • Margin losses involving involuntary liquidation of securities to pay off amounts borrowed from the brokerage firm
  • “Churning” or excessive trading by the broker to generate commissions
  • Misrepresentations or non-disclosure of facts about an investment and its risks
  • Unauthorized trading
  • Other stockbroker misconduct ranging from failure to follow your instructions to outright theft of client funds and Ponzi schemes

Do You Have to Bring Your Complaint Through Securities Arbitration?

The likely answer is yes. You probably signed an agreement with the brokerage firm saying that binding arbitration (rather than court) would be the exclusive means to address claims of stockbroker negligence, investment fraud, or other misconduct by your broker or brokerage firm.

The securities lawyers at Dimond Kaplan & Rothstein have significant experience representing investors in FINRA securities arbitration proceedings. To learn more about securities arbitration, or for a free consultation about your rights if you are an investment fraud victim, contact Dimond Kaplan & Rothstein in Miami, West Palm Beach, Los Angeles and New York.

Free Consultation ▪ Se habla Español ▪ Nós falamos o Português