Dimond Kaplan & Rothstein is representing plaintiff Daniel Cousin in a putative class action lawsuit against Hollywood-based Baleària Caribbean Ltd. Corp., previously known as Bahamas Express. From the article: A putative class action lawsuit...
Stockbroker Misconduct and Investment Fraud Blog
FINRA new rules will tighten the self-regulatory organization’s membership application process to firms’ ability to sidestep paying arbitration awards.
Dimond Kaplan & Rothstein, P.A. has filed a class action lawsuit against Baleària for failing to refund customers for ferry services that the company cancelled during the pandemic.
FINRA arbitration claim against UBS Financial Services, Inc. (UBS) on behalf of investors who lost nearly $1 million in the UBS Yield Enhancement Strategy.
Morgan Stanley Smith Barney is paying $5M to clients harmed by misleading information presented through the firm’s retail wrap fee programs.
Although the Securities and Exchange Commission (SEC) has wrapped up an investigation targeting conflicts of interest related to mutual funds fees, it demonstrated last month with an enforcement case with RBC it is still very focused on the...