The Securities and Exchange Commission (SEC) recently charged three individuals, and their affiliated entities, for running a Ponzi-like scheme and infringing the whistleblower protection laws. The fraud, which raised over $1.7B, was conducted...
Dimond Kaplan & Rothstein, P.A. is pleased to share that it has secured a FINRA arbitration award for its clients’ investment losses.
Dimond Kaplan & Rothstein is happy to share its recent arbitration win against Arete Wealth Management for the sale of risky private placements in GPB Automotive Portfolio, as reported by Investment News.
A federal court has ordered 1 Global broker Roger E. Dobrovodsky, 65, to surrender his commission earnings of $317,690 over to the Securities Exchange Commission for the sale of unregistered securities sales along with civil penalties and...
Regulators from the state of Massachusetts alleging that the financial trading app Robinhood preys on inexperienced investors with the use of gamification as well as suffers from rampant blackouts and disruptions in the online marketplace.
The U.S. Securities and Exchange Commission (SEC) filed and settled civil charges against John Stumpf, former chairman and CEO of Wells Fargo, stemming from his role in the bank’s sales practices scandal. Mr. Stumpf agreed to pay a...
