Securities | Serving Miami, FL
Miami Securities Arbitration and Litigation Law Firm
Our law firm’s securities lawyers have significant experience handling NASD, FINRA, NYSE, AAA, and Pacific Stock Exchange securities arbitrations and securities litigation in state and federal court. We have handled cases throughout the United States and Latin America involving a broad range of securities, including but not limited to: stocks, bonds, options, hedge funds, exchange-traded funds (ETFs), private placements, mutual funds, derivatives, currencies, and commodities. We have brought claims involving various forms of broker and brokerage firm misconduct
Contact us today if you need legal assistance with any of the following:
Call The Law Offices of Dimond Kaplan & Rothstein, P.A. today at 866-854-6914 to arrange your free initial consultation.
Jeffrey B. Kaplan is an AV-rated lawyer who focuses his law practice on securities arbitration and litigation and plaintiff-side class action litigation, representing individual and institutional investors in stockbroker misconduct and securities and investment fraud matters. He also represents securities industry professionals in U-4, U-5, and promissory note disputes. Mr. Kaplan has routinely been named a “Top Lawyer” by the South Florida Legal Guide. In 2012, FINRA nominated Mr. Kaplan to serve on the National Arbitration and Mediation Committee, which is an advisory committee that makes recommendations and drafts rules, regulations, and procedures governing FINRA arbitration.
He has extensive experience handling NASD, FINRA, NYSE, and AAA securities arbitration matters and has recovered millions of dollars on behalf of defrauded investors. Mr. Kaplan has authored a number of articles on stockbroker misconduct, and he is a recognized authority on the subject. He often serves as a guest lecturer on securities fraud and stockbroker misconduct, and has been invited to speak to investor groups, accountants, and other professionals throughout the country concerning investor protection.
Mr. Kaplan is a past Chairperson and current Board member of the Young Philanthropists of Baptist Health. He also is a former Chairperson of a Florida Bar Grievance Committee and a member of the Miami-Dade County Bar Association SEC Litigation Committee. He is active in the Greater Miami Jewish Federation Attorneys Division and is a Member of the Miami Innovation Fund, which provides pre-seed funding to technology start ups.
Scott M. Dimond is an AV-rated lawyer born May 3, 1968, in Falls Church, Virginia. A graduate of Ransom Everglades High School in Coconut Grove, Florida, Mr. Dimond received his B.A. with distinction from the University of Virginia, where he was a Lawn resident and member of Phi Beta Kappa. Mr. Dimond graduated from Columbia University School of Law in 1993 with honors. From 1993 until 1999, Mr. Dimond was employed by Morgan, Lewis & Bockius, LLP in Miami, Florida, where he was involved in all aspects of a complex-commercial-litigation practice. In April 1999, Mr. Dimond joined Hanzman & Criden, P.A., a well-respected litigation boutique located in Coral Gables, Florida, where he was named a partner in January 2002. Mr. Dimond became a founding shareholder of Dimond Kaplan & Rothstein, P.A. in March 2003, where his practice focuses on complex commercial litigation, claimant-side securities arbitration, and class-action litigation.
Mr. Dimond is the current Chair of the Southern District of Florida Local Rules Committee and has served on the Southern District of Florida Bench/Bar Committee since its inception in 2008. He is currently the Chair of the Florida Bar Rules of Civil Procedure Committee and has served as Chair of the Florida Bar Rules of Judicial Administration Committee. In 2018 Mr. Dimond was appointed by the Governor of the State of Florida as a Commissioner on the Eleventh Circuit Judicial Nominating Commission. He has been Chair of the Miami-Dade County Federal Court Committee and Vice-Chair of the Business Outreach Committee. In 2014 Mr. Dimond was appointed to the inaugural Eleventh Judicial Circuit Professionalism Panel. He has been appointed by multiple federal courts as a Receiver for the Securities Exchange Commission and the Federal Trade Commission. He served on the Ransom Everglades Alumni Board for over a decade and served on the Board of Directors of the non-profit organization EducateTomorrow.
Mr. Dimond has been named to Florida Trend Magazine’s “Legal Elite” from 2006 through the present, a “Super Lawyer” by Super Lawyers Magazine from 2008 through the present – including as a Miami Top 100 Super Lawyer, most recently in 2018 – and a “Top Lawyer” by the South Florida Legal Guide from 2007 through the present.
David A. Rothstein was born September 28, 1970 in Yonkers, New York. Mr. Rothstein received his B.A. cum laude in 1992 from the College of the Holy Cross, where he also played varsity basketball and was elected Captain by his teammates as a senior. Mr. Rothstein graduated cum laude from the University of Miami School of Law in 1995. While attending law school, Mr.Rothstein served as a member of the University of Miami Law Review and authored The Salary Cap: A Legal Analysis of and Practical Suggestions for Collective Bargaining in Professional Basketball, 11 Univ. Miami Ent. & Sport L. Rev. 251 (1994).
From August 1995 until February 2000, Mr. Rothstein worked for Stearns Weaver Miller Weissler Alhadeff & Sitterson, P.A., one of Florida’s premier full-service law firms, where his practice as a trial lawyer involved all aspects of civil litigation. Mr. Rothstein next joined Hanzman & Criden, P.A., where he focused his practice on complex commercial litigation and plaintiff-side class-action litigation and was named a partner of the firm in January 2002.
In 2003, Mr. Rothstein was recognized as a contributor to the article Establishing Injury By Reason Of Racketeering Activity: A Critical Analysis of the 11th Circuit’s Per Se Detrimental Reliance Requirement and Its Impact on RICO Class Actions, 77 Fla.B.J. 36 (March 2003). In 2006, Mr. Rothstein was named a charter member of the Ad Hoc Committee for the Eleventh Judicial Circuit’s Business Litigation Division, which established the framework and procedure’s for Miami-Dade County’s Business Litigation Division. Mr. Rothstein also is a long-standing member of the Board of Directors of Miami-based City Theatre, a professional theatre company dedicated to the solicitation, development, and production of short (one-act) plays unique to the cultural community of South Florida.
Jared A. Levyis a trial attorney with a diverse practice and extensive trial experience. Jared has a broad plaintiffs’ practice, representing plaintiffs in case types such as Securities and Investment Fraud Matters, Consumer & Securities Class Actions, False Claims Act / Qui Tam / Whistleblower Cases and Personal Injury / Wrongful Death Cases. Jared also represents corporate entities and individuals in complex business litigation disputes, including corporate divorce matters, claims based on deceptive and unfair trade practices, civil RICO claims, civil theft cases, defamation matters, usury cases, and breach of contract disputes. He has helped his plaintiff-clients collectively recover tens of millions of dollars, and has won multiple trial verdicts of over $1 million for his clients.
Jared received his undergraduate education at the University of North Carolina Chapel Hill, where he graduated with honors in 1995. He then attended Boston University School of Law, where he served on the Law Review and graduated cum laude in 1998. Following law school, Jared clerked for United States District Court Judge Patrick Michael Duffy in Charleston, South Carolina.
Prior to joining Dimond Kaplan & Rothstein, Jared worked for both plaintiff and defense law firms, giving him a unique perspective on the civil litigation process. On the defense side, Jared worked for White & Case (one of the world’s highest revenue-producing firms) and Kubicki Draper (one of Florida’s largest insurance-defense firms). Jared also worked for a leading boutique litigation firm specializing in plaintiffs’ securities and investment fraud matters.
Today, Jared’s practice reflects his varied background, and he strives to achieve the best and most efficient results for his clients, whether they are securities investors who have been victimized by their financial advisor’s negligence or fraud, personal injury and wrongful death victims, consumer-fraud victims, whistleblowers, or businesses and small-cap companies engaged in complex commercial disputes. Jared lives in West Boynton Beach in the Canyon communities with his wife and two daughters.
Michelle R. Suskauer is President of The Florida Bar and a criminal defense attorney at Dimond Kaplan & Rothstein, P.A., in West Palm Beach. Suskauer has been practicing in Palm Beach County since 1991, with a focus in criminal law in both state and federal courts. She is AV-rated by Martindale-Hubbell and has been recognized in the annual Florida Super Lawyers Magazine as one of Florida’s top criminal defense attorneys and by Florida Trend Magazine as one of Florida’s “Legal Elite” in its annual statewide poll of attorneys. Suskauer is actively involved in the leadership of numerous local and state legal organizations.
She has served on The Florida Bar Board of Governors for the 15th Judicial Circuit since 2010. She is past chair of the BOG’s Disciplinary Review Committee, the Communications Committee and the 2013 Annual Convention of The Florida Bar Committee. She has served as Chair of board’s Strategic Planning Committee and the Executive Committee for the past four years. Suskauer is past-president of the Palm Beach County Bar Association and the Florida Association for Women Lawyers, Palm Beach County Chapter, and she currently is president of the Board of Directors of the Legal Aid Society of Palm Beach County.
Professionally, Suskauer is a nationally known legal analyst who regularly appears on CNN, Fox News, MSNBC, NBC, and CNBC. She has made hundreds of television appearances, including on such shows as “The O’Reilly Factor,” “The Abrams Report,” “The Today Show,” “Good Morning America,” “NBC Nightly News,” “Hannity & Colmes,” “Nancy Grace,” “Anderson Cooper 360” and “The Big Idea with Donny Deutsch.” Suskauer is also the legal analyst for Palm Beach County’s NBC affiliate, WPTV NewsChannel 5; its Fox affiliate, WFLX 29; and 1290 WJNO and 850 WFTL.
Suskauer began her legal career as an assistant public defender in West Palm Beach and practiced with her husband at Suskauer Law Firm, P.A. for 18 years before joining Dimond Kaplan & Rothstein, P.A. She is married to Palm Beach County Circuit Court Judge Scott I. Suskauer, and they have two daughters: Talia, 22, and Rebecca, 19.
CHRISTOPHER M. DRURY is a cum laude graduate of both Davidson College and the University of Miami School of Law. He is a member of The Florida Bar, the South Carolina Bar, and the Law Society of England and Wales. Chris has handled complex personal injury and commercial cases in state and federal court in multiple jurisdictions. He focuses his practice on the prosecution of serious personal injury cases, as well as complex business and commercial disputes, including class actions.
Chris has helped clients obtain multi-million dollar recoveries in business litigation, securities litigation, and personal injury and wrongful death cases, as well as a multi-million dollar jury verdict in a maritime personal injury case. Chris has prosecuted multiple catastrophic personal injury cases resulting in eight-figure recoveries, including a boating accident case culminating in a court-approved $12 million settlement. Chris is a Life Member in the Multi-Million Dollar Advocates Forum and has been named to the Florida Rising Stars list by Super Lawyers for 2015, 2016, and 2017. Chris was recognized as one the top 40 Under 40 Outstanding Lawyers of South Florida by the Cystic Fibrosis Foundation in 2015. He also was invited to become a member of The National Trial Lawyers: Top 40 under 40 in 2014, and is currently an active member in that national invitation only organization of trial lawyers. Chris was recognized as a 2014 Florida Legal Elite “Up and Comer” in the area of Civil Trial. He serves on the Board of Directors of the Miami-Dade Trial Lawyers Association. Chris also enjoys a wealth of experience in the defense of a wide variety of banking and insurance-related matters. He speaks Spanish and German fluently.
Lorenz Michel Prüss is an AV-rated lawyer focusing his practice on all areas of business litigation, plaintiff-side class-action, and securities arbitration and litigation representing a domestic and international clientele. Mr. Prüss has been named a “Top Lawyer” and “Top Up and Comer” by the South Florida Legal Guide, a “Top Up and Comer” by Florida Trend magazine, and a “Rising Legal Star” by Super Lawyers magazine. He is licensed to practice in Florida and Washington, D.C. and also is specifically admitted to practice before the Eleventh Circuit of Court Appeals and the Southern and Middle Districts of Florida. Mr. Prüss has contributed to the firm’s efforts in the following published opinions:
Prior to actively practicing law, Mr. Prüss clerked at the State Department’s Bureau of Cultural Affairs for Africa in Washington, D.C., analyzing public diplomacy programs on topics such as the effectiveness of U.S. cultural penetration regarding Sub-Saharan Africa. During law school, Mr. Prüss followed that with time at the United States Attorney’s Office Economic Crimes Unit, in Miami, Florida, as part of the University of Miami’s Clinical Litigation Program.
Mr. Prüss is a member of InterNations and the Peruvian-American Chamber of Commerce. In March 2004, he was featured in Peruvian magazine, Peru Hoy.
recovery in favor of real-estate developer in contractual dispute with competing developer regarding development rights.
class action recovery from a brokerage firm that sold fraudulent securities issued by a Ponzi scheme after failing to conduct adequate due diligence of the Ponzi scheme.
in assets recovered for investor in connection with unsuitably risky derivative investment.
recovery from a brokerage firm that sold fraudulent securities issued by a Ponzi scheme after failing to conduct adequate due diligence of the Ponzi scheme.
class action settlement against Regions Bank for its role in the sale of securities by an unregistered broker-dealer.
recovery for an institutional investor from a brokerage firm that misrepresented the nature and risks of auction rate securities.
arbitration award against a brokerage firm that (a) sold fraudulent securities issued by a Ponzi scheme after failing to conduct adequate due diligence of the Ponzi scheme, and (b) sold other risky and illiquid private placements.
class action settlement against depository institution alleging failure to perform due diligence.
recovery from a brokerage firm that misrepresented the nature and risks of Lehman Brothers structured products, including so-called “principal protection” notes.
recovery from broker-dealer on behalf of issuer of municipal bonds in case involving allegations of misrepresentations and omissions made by the broker-dealer.