DKR Files Another FINRA Arbitration Claim to Recover UBS YES Options Losses
UBS YES Investors Dimond Kaplan & Rothstein, P.A. Files Another FINRA Arbitration Claim to Recover Yield Enhancement Strategy Options Losses
Posted 5 days ago
Stockbroker Misconduct and Investment Fraud Blog
UBS Financial Services, Fined $10 Million for SEC Violations
UBS Financial Services Inc. has agreed to pay $10 million in fines after the SEC accused the brokerage firm of circumventing the priority given to retail investors in specific municipal bond offerings.
Posted 6 days ago
DKR Partner Jeff Kaplan in FINRA Conference Panel
Dimond Kaplan & Rothstein partner Jeff Kaplan recently participated in a new video conference panel discussing COVID-19’s impact on FINRA arbitration and mediation. Richard Berry, Head of Dispute Resolution Services at FINRA, leads the...
Posted 11 days ago
Texas Man Scammed Retired Cops In $14M Ponzi Scheme
The U.S. Securities and Exchange Commission (SEC) accused Victor Lee Farias of deceiving investors out of approximately $14M in a purported aviation parts leasing ponzi scheme — most of the victims are retired San Antonio police officers. Scammer...
Posted 12 days ago
New Hampshire is Investigating Claims Against Merrill Lynch Brokers
The State of New Hampshire is investigating two former Merrill Lynch brokers Charles Kenahan and Dermon Cavanaugh, who allegedly churned the account of former New Hampshire governor Craig Benson.
Posted 27 days ago
Former Morgan Stanley Advisor Steals Over $6M from Clients
Former Morgan Stanley stockbroker Michael Barry Carter acknowledged that he embezzled more than $6 million from clients and used the money for personal expenses, including credit card bills and mortgage payments.
Posted August 21, 2020
