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DKR is Investigating Herbert J. Sims & Co., Inc. (HJ Sims) Relating to Sales of its Reg D Offerings
Insigneo Securities Broker Antoine Souma Sued for $1.4 Million
Dimond Kaplan & Rothstein Wins Another UBS YES Case
Dimond Kaplan & Rothstein, P.A. Investigating Claims Against Brokerage Firms that Sold GWG Holdings L Bonds
DKR Recovers More than $1.4 Million for UBS YES Investors
FINRA Suspends Ex-J.P Morgan Broker Over Unlawful Trades
The SEC Aims To Decrease Stock Trade Settlement Times By 2024
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$550 Million Penalty Against Goldman Sachs
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Could FINRA’s Debt Research Rule Prevent Next Sub-Prime Mortgage Crisis?
Dodd-Frank Act Amendments to Investment Advisers Act
Exchange-Traded Funds: Benefits and Risks of the Popular Investment Vehicle
Extension of FINRA Pilot Program Probes for Industry Bias in Securities Arbitration
Financial Reform Legislation and Transparency in Hedge Fund Management
Financial Risk: From Stockbroker Misconduct to Reverse Mortgage Fraud
FINRA to Oversee Investment Advisors on Wall Street?
FINRA’s New Suitability Rule: A Good Start, But Not Enough
Hedge Fund Manager Charged in Most Profitable Insider Trading Scheme Ever
Hedge Funds Investments: Protect Yourself and Your Money
How Safe Is Your Brokerage Account in the United States?
Is FINRA’s Proposed Rule Regarding Back-Office Personnel Too Broad?
New Proposal Calls for Stronger Broker-Dealer Audits
Penny stock fraud scheme leads to multiple Florida arrests
Ponzi Schemes: What You Don’t Know Can Hurt You
Proposed FINRA Rule: Preventing Securities Fraud, Protecting Investors
Proposed SEC Rule Addresses Conflicts of Interest in Securities Transactions
Qui Tam Lawsuits Under the False Claims Act
SEC Crackdown Increasingly Centers Around Negligence Charges
SEC May Change Mandatory Arbitration Rules
Securities fraud class action suits at issue before Supreme Court
Securities Fraud Encompasses Far More Than Just Ponzi Schemes
Securities Fraud: What You Need To Know As an Investor
Supreme Court to hear securities class action case
The Myth of “100% Protected” Securities
The Psychology of Investment Fraud
The SEC’s Whistleblower Program Pays Out
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Ameriprise Financial, Inc.
Ameritas Investment Corp.
Associated Securities, Corp.
Aura Financial Services, Inc.
AXA Advisors, LLC
Bank of America
Berthel Fisher & Company Financial Services, Inc.
Cadaret, Grant & Co, Inc.
Cambridge Investment Research, Inc.
Capital Analysts Incorporated
Capital Financial Group
Citigroup Global Markets/Smith Barney
Commonwealth Fin
Deutsche Bank Securities, Inc./Alex Brown
Edward Jones & Co.
First Allied Securities, Inc.
FSC Securities Corporation
Geneos Wealth Management
Genworth Financial
GunnAllen Financial, Inc.
H.D. Vest Financial Services, Inc.
H&R Block Financial Services
InterSecurities, Inc.
INVEST Financial Corporation
Investacorp
Investment Centers of America, Inc.
Investors Capital Corporation
J.P. Morgan Chase & Co. / Banc One Securities
J.P. Turner & Company
Janney Montgomery Scott, LLC
John Hancock Financial Network/Signator Investors, Inc.
Lincoln Financial Advisors
Lincoln Investment Planning, Inc.
Linsco / Private Ledger / LPL Financial Services
M Securities Investment, Inc.
Merrill Lynch, Pierce, Fenner & Smith, Inc.
MetLife Securities
MML Investors Services, Inc.
Moors & Cabot, Inc.
Morgan Stanley/Dean Witter
Mutual Service Corporation
National Planning Corporation
NEXT Financial Group, Inc.
NFP Securities
Northwestern Mutual Investment Services, LLC
Oppenheimer & Co.
Pacific West Financial Group
Primevest Financial Services, Inc.
Princor Financial Services Corporation
ProEquities, Inc.
Raymond James Financial, Inc.
Sammons Securities Company, LLC
Securities America
Securities Service Network
Sigma Financial Corporation
SII Investments, Inc.
Southwest Securities
Sterne, Agee & Leach, Inc.
Stifel Nicolaus & Co., Inc. / Stifel Financial Corp.
Transamerica Financial Advisors, Inc.
Triad Advisors
U.S. Bancorp Investments, Inc.
UBS Financial Services / UBS Global Asset Management
VSR Financial Services
Wachovia Securities, LLC
Waddell & Reed
Wedbush Securities Inc.
Woodbury Financial Services, Inc.
FAQs on FINRA Arbitration
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Why Hire a Securities Law Firm?
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Por que Contratar um Escritórios de Advocacia de Lei dos Valores Mobiliários?
Porque Mediação
Procedimentos de Arbitragem de Valores Mobiliários
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Reguladores de Títulos de New Hampshire acusaram UBS Financial Services, Inc. de enganar os investidores sobre as Notas de Capitais Protegidas do Lehman Brothers
Representação de Investidores Latino-Americanos
Resumo de Fraudes dos Valores Mobiliários
Vendas do UBS do Lehman Brothers
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¿Para que Contratar a una Firma Legal con Experiencia en Acciones Y Valores?
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Bienvenidos
Demandas por ineptitud
El arbitraje de controversias bursátiles
FINRA Le recuerda a compañías de corretaje de practicas de ventas
Fraude de títulos y Mala Conducta de los corredores de bolsa para los inversionistas de la Ciudad de México
Fraude de Valores y Negligencia de los Corredores de Bolsa
Inversiones
Inversiones Internacionales
Investigaciones actuales
Los Inversionistas de Buenos Aires y Otros Inversionistas
Los Inversionistas de la Ciudad de Mexico
Opciones
Procedimiento de Arbitraje de Valores
Productos Estructurados
Que son Certificados con el Principal Protegido? (PPN)
Reguladores de Valores de New Hampshire Han Acusado a UBS Financial Services, Inc.
Representación de inversionistas Latinoamericanos
Responsabilidad legal del corredor de bolsa
Ventas de UBS de certificados
Firm Overview
Fraude de Valores o Negligencia de un Corredor de Bolsa de J.P. Morgan
GWG Holdings
Have You Lost Money as a Result of Leveraged UBS ETRACS Exchange Traded Notes?
Home | Securities Fraud
Honors & Accolades
Horizon Private Equity Investment Losses
Initial Public Offerings and Secondary Stock Offerings
Investment Fraud & Stockbroker Misconduct
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401(k), 403(b) & Other Retirement Savings Plans
Asset Allocation Fraud
Bond Investment Fraud
Broker Cooperation Attorney
International Investment Fraud
Buenos Aires & Other Argentine Investors
Mexico City & Other Mexican Investors
Puerto Rico Securities Fraud & Stockbroker Misconduct
Representation of Latin American Investors
Sao Paulo & Other Brazilian Investors
Securities Fraud & Stockbrokers Misconduct for Mexico City Investors
Churning
Cooperating with Securities Regulators
Employee Stock Options
Equity Indexed Annuities
ERISA
Hedge Fund Fraud
Liquefying Home Equity Investments
Los Angeles Securities Fraud & Stock Broker Misconduct
Margin Account Claims
Medical Capital Investment Fraud
Brokerage Firms Failed
Criminal Investigation
Gross Misconduct
Medical Capital Records
Misrepresentation Investment Fraud & Omissions
Mutual Fund Fraud
New York Securities Fraud & Stock Broker Misconduct
Ponzi Schemes
Puerto Rico Securities Fraud & Stock Broker Misconduct
Regulation D or Private Placements
Sales Practice Obligations
Securities Arbitration Lawyer
Stock Options Attorney
Structured Products
CDO’s/CMO’s
Credit Default Swaps
Credit Derivatives
Favorable Arbitration Awards Against UBS for Lehman Losses
Principal Protected Notes
UBS Misleads Investors
UBS Sales of Lehman Brothers
Subprime Investments
Unauthorized Trading
Unsuitability Claims
Variable Annuities
Investment Fraud Attorney Profiles
Menu Toggle
David A. Rothstein, Commercial Litigation
Jeffrey B. Kaplan , Securities Arbitration
Lorenz Michel Prüss, Business Litigation
Michelle R. Suskauer
Scott M. Dimond, Commercial Litigation
Tyler DiMaio
Investment Fraud Blog
Investment losses in an Oil and Gas | Master Limited Partnership
J.P. Morgan Securities Fraud
Legal Articles
Menu Toggle
¿Qué Tan Segura es su Cuenta de Valores en Estados Unidos?
$550 Million Penalty Against Goldman Sachs
Amgen case could revolutionize securities fraud cases
Clawback Lawsuits on Rise in Aftermath of Ponzi Schemes
Could FINRA’s Debt Research Rule Prevent Next Sub-Prime Mortgage Crisis?
Dodd-Frank Act Amendments to Investment Advisers Act
Exchange-Traded Funds: Benefits and Risks of the Popular Investment Vehicle
Extension of FINRA Pilot Program Probes for Industry Bias in Securities Arbitration
Financial Reform Legislation and Transparency in Hedge Fund Management
Financial Risk: From Stockbroker Misconduct to Reverse Mortgage Fraud
FINRA to Oversee Investment Advisors on Wall Street?
FINRA’s New Suitability Rule: A Good Start, But Not Enough
Hedge Fund Manager Charged in Most Profitable Insider Trading Scheme Ever
Hedge Funds Investments: Protect Yourself and Your Money
How Safe Is Your Brokerage Account in the United States?
Is FINRA’s Proposed Rule Regarding Back-Office Personnel Too Broad?
New Proposal Calls for Stronger Broker-Dealer Audits
Penny stock fraud scheme leads to multiple Florida arrests
Ponzi Schemes: What You Don’t Know Can Hurt You
Proposed FINRA Rule: Preventing Securities Fraud, Protecting Investors
Proposed SEC Rule Addresses Conflicts of Interest in Securities Transactions
Qui Tam Lawsuits Under the False Claims Act
SEC Crackdown Increasingly Centers Around Negligence Charges
SEC May Change Mandatory Arbitration Rules
Securities fraud class action suits at issue before Supreme Court
Securities Fraud Encompasses Far More Than Just Ponzi Schemes
Securities Fraud: What You Need To Know As an Investor
Supreme Court to hear securities class action case
The Myth of “100% Protected” Securities
The Psychology of Investment Fraud
The SEC’s Whistleblower Program Pays Out
Update: Permanent Rule Change Arising Out of FINRA’s Pilot Program
Whistleblowers Receive Record Reward in 2011
Los Angeles Securities Fraud Attorney
Los Angeles Securities Fraud Services
Lost money investing with United Development Funding
Past Fraud Investigations
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Margin Account Claims
Medical Capital Investment Fraud
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Scott M. Dimond
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41000 Woodward Avenue,
Suite 350 East
Bloomfield Hills, Mi 48304
Telephone: 248-572-1120
