The Fraud Report

06/30/2022

ATTENTION UBS YES INVESTORS: Law Firm Dimond Kaplan & Rothstein, P.A. Alerts YES Investors of $25 Million SEC Fine

09/23/2021

A current DKR investment fraud investigation concerns the alleged $110 million Ponzi scheme -- Horizon Private Equity III -- run by former Oppenheimer broker James Woods.

07/09/2019

Dimond Kaplan & Rothstein, P.A. is investigating and prosecuting claims against Morgan Stanley related to broker Kevin C. Yang. Mr. Yang worked out of Morgan Stanley’s Pasadena, California branch office from May 2010 through April 2017. Morgan Stanley fired Mr. Yang after numerous customers alleged that Mr. Yang made unauthorized trades in the customers’ accounts.

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If you or someone you know has experienced a loss due to broker misconduct, contact an investment fraud attorney at Dimond Kaplan & Rothstein, P.A. to schedule an appointment for a FREE case evaluation.

Our offices are located in Los Angeles, Miami, New York, Detroit, and West Palm Beach, and we represent clients nationwide. Translations services are available.

DKR is investigating and prosecuting claims against Morgan Stanley broker Kevin C. Yang who allegedly made unauthorized trades in customer's accounts.

07/09/2019

The Securities and Exchange Commission has charged San Diego investment advisor, Christopher D. Dougherty, with defrauding clients out of $7 million while operating a Ponzi scheme under his firm C&D Professional Services.

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If you are looking for a Ponzi scheme attorney to review your rights and options, the Ponzi scheme lawyers at Dimond Kaplan & Rothstein, P.A. have a proven track record of getting results for clients. Contact today to schedule an appointment for a FREE case evaluation.

Christopher D. Dougherty charged with defrauding clients out of $7 million while operating a Ponzi scheme under his firm C&D Professional Services.

07/09/2019

The U.S. Securities and Exchange Commission seized the assets of two men who posed as pastors in order to defraud investors in a $25 million Ponzi scheme.

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Speak with a Ponzi Scheme Attorney
Our AV-rated* lawyers have extensive experience litigating a broad range of investment disputes, including those involving Ponzi Schemes.

If you are looking for an attorney to review your rights and options, the Ponzi scheme lawyers at Dimond Kaplan & Rothstein, P.A. represent individual and institutional investors who have lost money as a result of broker misconduct and Ponzi schemes.

The U.S. Securities and Exchange Commission seized the assets of two men who posed as pastors in order to defraud investors in a $25 million Ponzi scheme.

07/09/2019

The FBI has arrested Canadian Khemraj Dave Hardat on wire fraud charges arising from allegations that he duped seven individuals into wiring him over $5 million over a three-year period. According to the complaint, Hardat tricked investors into believing that their money would be used to invest in businesses that he claimed to manage.

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If you or someone you know have experienced investment loss due to a Ponzi scheme, contact a Ponzi scheme attorney at Dimond Kaplan & Rothstein, P.A. today.

The FBI arrested Khemraj Dave Hardat on wire fraud charges from allegations that he duped individuals into wiring him over $5 million... Read More Here...

03/21/2019

The U.S. Securities and Exchange Commission (SEC) has announced that Los Angeles-based Wedbush Securities Inc. will pay $250,000 and be censured by the agency to resolve a failure-to-supervise charge.
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The SEC had accused Wedbush of failing to take action despite being aware that an employee was involved in a pump-and-dump scheme. If you or someone you know has been a victim of Wedbush Securities, contact an attorney at Dimond Kaplan & Rothstein, P.A. today.

The SEC has announced that Wedbush Securities Inc. will pay $250,000 and be censured for failure to supervise a broker who ran a ponzi scheme. Read More.

11/26/2018

Have You Lost Money Investing with OptionSellers.com and INTL FCStone? You might have a claim. Now on the Dimond Kaplan & Rothstein, P.A. blog, how OptionSellers.com went dark and cost investors thousands of dollars.
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If you lost money investing with OptionSellers.com and INTL FCStone contact an experienced investment fraud attorney at Dimond Kaplan & Rothstein, P.A. today.

Commodities options trading firm OptionSellers.com lost millions of dollars of investors’ money engaging in a risky options on commodities trading strategy.

11/12/2018

Now on the Dimond Kaplan & Rothstein, P.A. blog, a report on U.S. mutual fund LJM Preservation and Growth Fund.

Now shuttered after loosing four-fifths of its value earlier this year, investors have filed a lawsuit against the fund for their investment losses.
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Read more now the Dimond Kaplan & Rothstein, P.A. blog and contact an investment fraud attorney to explore your rights and options if you invested with LJM Preservation and Growth Fund.

Investors have filed a lawsuit against U.S. now closed mutual fund LJM Preservation and Growth Fund for improperly handling investor assets. Read more now.

08/29/2018

StockCross Financial Services and one of its brokers have been charged by Massachusetts regulators with improper trading practices.
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The firm and its broker Peter Cunningham of Los Angeles allegedly collected $750,000 in commissions on unit investment trust trades that resulted in losses for investors. Read more now on the blog.

StockCross Financial Services and one of its brokers have been charged by Massachusetts regulators with improper trading practices. Read more on DKRPA blog.

08/21/2018

The former COO of California-based Hoplon Financial Group has been barred from the securities industry by the Securities and Exchange Commission for misusing customer funds.
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If you are looking for an investment fraud attorney to review your rights and options, the investment fraud lawyers at Dimond Kaplan & Rothstein, P.A. today.

The former COO of California-based Hoplon Financial Group has been barred from the securities industry by the SEC for misusing customer funds.