Dimond Kaplan Rothstein is investigating brokerage firms that recommended that their customers invest in GPB Capital Holdings’ high-risk, high-commission private placements.
Dimond Kaplan & Rothstein, P.A. has been retained to represent at least one of the men in who has been arrested as part of the Florida Prostitution Investigation.
Dimond Kaplan & Rothstein currently represents investors who lost money in UBS’s so-called “Yield Enhancement Strategy.” This was an options strategy that was marketed as a safe way to enhance the yield (or income) on investments. But...
According to the Securities and Exchange Commission (SEC), dozens of Atlanta families were defrauded out of large, but still undetermined, sums of money by Joseph Meyer and his investment advisory firm Statim Holdings. The investors, members of...
A judge in the U.S. District Court for the Southern District of Florida recently ordered the Woodbridge Group of Companies LLC (“Woodbridge”), its former owner Robert H. Shapiro, and 281 Woodbridge-affiliated companies, to pay a total of $1...
“Selling away” occurs when a broker solicits a client to purchase securities that are not offered or approved by the brokerage. This activity can get a broker fired, because it increases the risk of violating FINRA rules by selling products that...
