Stockbroker Misconduct and Investment Fraud Blog

DKR Partner Jeff Kaplan in FINRA Conference Panel

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...

Texas Man Scammed Retired Cops In $14M Ponzi Scheme

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...