Dimond Kaplan & Rothstein, P.A. is pleased to share news of another win again UBS Financial Services for DKR’s clients who suffered losses in UBS’s Yield Enhancement Strategy (“YES”).
The Financial Industry Regulatory Authority (FINRA) has fined online stock-trading app Robinhood Financial $70 million for a series of failures that hurt Robinhood’s customers.
T-Mobile has been hit with a multi-million-dollar lawsuit after Reginald Middleton lost millions of dollars when hackers gained unauthorized access to his account. The hackers used information supplied by T-Mobile to successfully circumvent the...
National investment fraud law firm Dimond Kaplan & Rothstein, P.A. (“DKR”) is investigating potential claims against brokerage firm Oppenheimer & Co., Inc. (“Oppenheimer”) (NYSE: OPY) on behalf of Oppenheimer customers who invested in...
Recent Securities and Exchange Commission (SEC) examinations of investment advisers, investment companies, and funds show shortcomings in processes related to pitching, constructing, and monitoring investment products and procedures that use...
U.S. District Judge for the Southern District of Florida, Robert N. Scola Jr., convicted David C. Coggins, a 42-year-old hedge fund manager, to 51 months in prison for embezzling over $2 million from a dozen clients through his fund Coral Gables...
