Unregistered Brokerage Firm
Securities Fraud Class Action Attorney
Was Your Stockbroker or Brokerage Firm Not Registered?
You may suspect that something was amiss about your stock broker or brokerage firm. Your investments went bad. There may be cause to investigate whether your stockbroker or brokerage firm was properly registered. Contact a securities fraud attorney at the law offices of Dimond Kaplan & Rothstein, P.A., to discuss your investments, your stock broker, your brokerage firm and your losses.
Accomplished Securities Fraud Litigation Law Firm Brings Class Actions
Dimond Kaplan & Rothstein, P.A. is an AV-rated* litigation boutique law firm representing investors throughout the United States and in other countries. Our lawyers handle stockbroker misconduct cases, commercial litigation and class action litigation.
Our securities clients have suffered securities investment losses due to the negligence, incompetence, fraud or dishonesty of stockbrokers and brokerage firms. When large numbers of investors have been defrauded in a similar fashion, a class action lawsuit may be the most efficient legal remedy.
If you feel that you have lost money as a result of stockbroker or brokerage firm misconduct, such as failure to register as required by law, contact us for a free consultation.
State and Federal Registration Laws for Stockbrokers and Brokerage Firms
State and federal securities laws and regulations generally require publicly sold securities to be registered both with the Securities and Exchange Commission and with the states in which the securities are to be sold. Such laws and regulations also require the brokers and brokerage firms selling securities to be registered.
There are times when the appropriate registrations are not made for either a security or the broker or brokerage firm, or where an exemption from registration is violated. Such circumstances often provide grounds for a securities registration class action, through which investors can seek rescission of any securities transactions involving unregistered securities or unregistered brokers or brokerage firms.
Contact a Securities Fraud Class Action Lawyer
Contact us regarding a possible class action lawsuit against your stockbroker or brokerage law firm that failed to register as required by state and federal law at 888-578-6255.