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Dimond Kaplan & Rothstein - Securities Fraud Attorneys
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      • Professionals
        • Scott M. Dimond
        • Jeffrey B. Kaplan
        • Lorenz Michel Pruss
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        • Michelle R. Suskauer
        • Tyler DiMaio
        • Alexander M. Peraza
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        • Preventing and Detecting Stockbroker Fraud
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      • Dimond Kaplan & Rothstein, P.A. is investigating securities brokerage firm Herbert J. Sims & Co. Inc. ("HJ Sims"), for its sales of certain SEC Regulation Reg D ("Reg D") securities. HJ Sims sold at least 84 different Reg D private securities offerings during the last decade. 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 MillionInsigneo Securities Broker Antoine Souma Sued for $1.4 Million
      • Dimond Kaplan & Rothstein Wins Another UBS YES CaseDimond Kaplan & Rothstein Wins Another UBS YES Case
      • Dimond Kaplan & Rothstein, P.A. Investigating Claims Against Brokerage Firms that Sold GWG Holdings L BondsDimond 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 InvestorsDKR Recovers More than $1.4 Million for UBS YES Investors
      • FINRA Suspends Ex-J.P Morgan Broker Over Unlawful TradesFINRA Suspends Ex-J.P Morgan Broker Over Unlawful Trades
      • The SEC Aims To Decrease Stock Trade Settlement Times By 2024The SEC Aims To Decrease Stock Trade Settlement Times By 2024
      • Auditor Held Accountable For $40m Investment In 'Sham' Streaming CompanyAuditor Held Accountable For $40m Investment In ‘Sham’ Streaming Company
      • Notification to Former Morgan Stanley Broker Shawn Good's ClientsNotification to Former Morgan Stanley Broker Shawn Good’s Clients
      • UBS YES Investors Win $4 Million FINRA Arbitration ClaimUBS YES Investors Win $4 Million FINRA Arbitration Claim
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    • Miami Office
      Telephone: 305-374-1920

    • New York City Office
      Telephone: 212-618-1399

    • Los Angeles Office
      Telephone: 424-202-3656

    • West Palm Beach Office
      Telephone: 561-671-1920

    • Detroit City Office
      Telephone: 248-572-1120

    • Naples Office
      Telephone: 888-578-6255
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Em Português

  • Investidores de São Paulo e outros investidores Brasileiros podem exercer um pedido de arbitragem ao UBS para os prejuízos de Lehman.
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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
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Miami Office
Grand Bay Plaza
2665 S. Bayshore Drive
Penthouse 2B
Miami, FL 33133
Telephone: 305-374-1920

New York City Office
Available by Appointment
14 Wall St, 20th Floor
New York, NY 10005
Telephone: 212-618-1399

Los Angeles Office
Available by Appointment
2029 Century Park East
Century Plaza Tower
Suite 400N
Los Angeles, CA 90067
Telephone: 424-202-3656

West Palm Beach Office
Northbridge Centre
515 N. Flagler Drive
Suite P-300
West Palm Beach, FL 33401
Telephone: 561-671-1920

Detroit Office
Available by Appointment
41000 Woodward Avenue,
Suite 350 East
Bloomfield Hills, Mi 48304
Telephone: 248-572-1120


Naples Office
Available by Appointment
365 Fifth Avenue South
Naples, FL 34102
Telephone: 888-578-6255


  • Practice Areas
    • Investment Fraud
    • Commercial Litigation
    • Consumer Class Actions
    • Whistleblower Claims
    • Employment Disputes
    • Criminal Defense
    • Personal Injury
  • About
    • Professionals
    • Honors and Accolades
    • Institutional Clients
  • Resources
    • DKR Blog
    • Current Fraud Investigations
    • Legal Articles
  • Contact
    • Miami Office
    • Los Angeles Office
    • New York City Office
    • Detroit Office
    • West Palm Beach Office
    • Naples Office
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1.888.578.6255
  • Home
  • Practice Areas
    • Investment Fraud & Stockbroker Misconduct
      • 401(k), 403(b) & Other Retirement Savings Plans
      • Bonds
      • Broker Cooperation Attorney
      • Churning
      • Cooperating with Securities Regulators
      • Credit Derivatives
      • Credit Default Swaps
      • Employee Stock Options
      • Equity Indexed Annuities
      • ERISA
      • Hedge Fund Fraud
      • Asset Allocation Fraud
      • International Investment Fraud
      • Liquefying Home Equity Investments
      • Margin Account Claims
      • Medical Capital Investment Fraud
      • Misrepresentation Investment Fraud & Omissions
      • Mutual Fund Fraud
      • Stock Options Attorney
      • Ponzi Schemes
      • Regulation D or Private Placements
      • SIM Card Swap / Cryptocurrency Theft
      • Sales Practice Obligations
      • Securities Arbitration Lawyer
      • Structured Products
      • Unauthorized Trading
      • Unsuitability Claims
      • Variable Annuities
      • Back
    • Business & Commercial Litigation
      • Corporate Control Attorney
      • Directors’ & Officers’ Liability
      • Debtor Creditor Disputes
      • Insurance Coverage Claims
      • Long-Term Care Insurance Litigation and Arbitration
      • Real Estate Litigation
      • Back
    • Securities Fraud & Consumer Class Actions
      • Securities Fraud Class Actions
      • Misrepresentation Omission
      • CDO’s/CMO’s
      • Unregistered Brokerage Firm
      • Securities Fraud & Consumer Class Actions
      • Consumer & Class Action Lawsuits
      • Consumer Fraud
      • Price Fixing
      • Shareholder Derivative Litigation
      • Back
    • Whistleblower Claims
      • Whistleblower Laws
      • Whistleblower FAQs
      • Whistleblower Protection Act
      • Qui Tam & Whistleblower Claims
      • Securities Fraud Whistleblower
      • GSA & Supply Fraud
      • Medicaid & Medicare Fraud
      • Tax Fraud Attorney
      • Company Fraud
      • Back
    • Broker & Securities Employment Disputes
      • Broker & Securities Employment Disputes
      • Bonus Disputes
      • Brokerage Employment and Stockbroker Bonus Disputes
      • Forgivable Loan & Promissory Note Disputes
      • Expungement Attorneys
      • Back
    • Criminal Defense
      • Criminal Law
      • Back
    • Personal Injury
      • Bike & Pedestrian Accidents
      • Car Accidents
      • Motorcycle Accidents
      • Restaurant & Nightclub Liability
      • Slip & Fall Accidents
      • Texting While Driving
      • Truck Accidents
      • Back
    • Back
  • Results
  • About
    • Professionals
      • Scott M. Dimond
      • Jeffrey B. Kaplan
      • Lorenz Michel Pruss
      • David A. Rothstein
      • Michelle R. Suskauer
      • Tyler DiMaio
      • Simon Lassel
      • Alexander M. Peraza.
      • Back
    • Honors & Accolades
    • Representative Institutional Clients
    • Back
  • Resources
    • Legal Articles
    • Client Resources
      • Preventing and Detecting Stockbroker Fraud
      • Stockbrokers Duties to Clients
      • FAQs on FINRA Arbitration
      • What to Do if You Suspect Stockbroker Misconduct
      • A Comprehensive List of Top Brokerage Firms
      • Back
    • Back
  • Investigations
  • Investment Fraud Blog
  • Contact
EN   ES   PT     
1.888-578-6255



Miami Office
Grand Bay Plaza
2665 S. Bayshore Drive
Penthouse 2B
Miami, FL 33133
Telephone: 305-374-1920




Los Angeles Office
Available by Appointment
2029 Century Park East
Century Plaza Tower
Suite 400N
Los Angeles, CA 90067
Telephone: 424-202-3656




New York City Office
Available by Appointment
14 Wall St, 20th Floor
New York, NY 10005
Telephone: 212-618-1399




West Palm Beach Office
Northbridge Centre
515 N. Flagler Drive, Suite P-300
West Palm Beach, FL 33401
Telephone: 561-671-1920




Detroit Office
41000 Woodward Avenue,
Suite 350 East
Bloomfield Hills, Mi 48304
Telephone: 248-572-1120