Over the last 12 years, Oakes & Fosher has tried and won more FINRA arbitration cases on behalf of individual investors than any other law firm in the country.

*Past results do not guarantee a similar outcome. The choice of a lawyer is an important decision and should not be based alone on prior results.


Securities Fraud Attorneys

Who Help Investors Across the United States Win Disputes Against Stock Brokers & Brokerage Firms

Let us help you recover financial losses caused by stockbroker fraud, broker misconduct, and unsuitable investment recommendations.

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Why should you choose our investment fraud lawyers?

  • Over the last 12 years, we have tried and won more FINRA arbitration cases on behalf of individual investors than any other law firm in the country*
  • We have over 20 years of experience in representing individual investors in disputes with stockbrokers and large brokerage firms
  • We have recovered $100 million in Private Arbitration
  • We have helped over 1,000 investors nationwide recover investment losses
  • Our consultations are 100% free and confidential
  • No attorney’s fees unless we collect for you
  • We have the resources to help you recover any investment losses caused by broker misconduct or negligence

Common Signs of Investment Fraud

High Pressure Sales Tactics

“Buy now before it’s too late.” “Get it for a low price if you buy now.”

Promises of No Risk or Minimal Risk

“You’ll make significant profits, guaranteed – you can’t go wrong!”

Lack of Information on Investment Returns

Too much information or too little information on how the investment will generate a return.

Unrealistic Turnarounds

Promises of significant returns in a short amount of time.

Dodging Questions

Avoiding questions about your investment, or redirecting your questions by asking you questions. Ignoring requests for documentation, claiming information pertaining to your investment is “classified” or “confidential.”

Unbusinesslike or Pushy Behavior

Refusing to answer phone calls, not letting you meet at their office, or otherwise pushing you to make immediate decisions about your investment.


Securities Arbitration Attorneys

Since the firm’s founding over 20 years ago, Oakes & Fosher, LLC has earned a reputation as one of the leading Securities Litigation Firms in the U.S. We have represented over 1,000 investors throughout the nation, have recovered millions of dollars due to stockbroker negligence and securities fraud, and have litigated cases against the vast majority of brokerage firms operating in the United States.

Our team of experienced securities arbitration attorneys and legal staff are well equipped to handle your securities fraud case professionally and confidentially, and our legal fees are based entirely on whether we are able to recover for your case.

Let us help you recover your investment.

Contact Us Today

Our Experienced Investment Fraud Attorneys Are Here to Answer Your Questions

Some investors know that they have been the victim of securities fraud or negligence, while others do not have the slightest notion that wrongdoing has taken place until eventually noticing an investment loss. If you think that you may have been the victim of securities fraud or negligence, our knowledgeable securities fraud lawyers will work quickly to determine if your brokerage account has been mishandled, identify what has happened, and develop a strategy on how to approach your securities arbitration case. Securities laws are complex and involve various state and federal regulations, which can be challenging to understand without an experienced and knowledgeable attorney by your side. Our attorneys are here to answer any questions that you might have about the securities arbitration process and how it may apply to your case, and will aggressively pursue full and just compensation for your claim.


Case Types

Securities Fraud

Broker Negligence

Alternative Investments

Excessive Trading/Churning

What You Should Do If You Suspect Investment Fraud

If you are concerned about something in your account statements or trade confirmations, you should:

  1. Collect as much documentation as possible about the suspicious investment.
  2. Check your broker’s records. FINRA’s BrokerCheck lets you view a broker’s licensure, work history, and any complaints that have been brought against them.
  3. Let an investment fraud attorney develop a strategy. Our attorneys can help you understand state and federal securities laws and create a strategy for recovery of your investment. We can investigate your situation, determine what has happened, and offer advice on the best way to recover your investment.

Let our experienced investment fraud lawyers recover for you. Contact us today for a free case evaluation.

Learn More About:

Investment Fraud FAQs

What is Securities Fraud?

Securities fraud, also known as financial advisor or stock broker fraud, covers a vast range of activities, from Ponzi schemes and misappropriation of funds to unauthorized trading, including churning your accounts.

Who Commits Securities Fraud?

Securities fraud is committed by private investors, such as stock brokers or financial advisors, who knowingly provide unsuitable investments to clients based on inside information, or by brokerage firms who hide or misrepresent investment products.

How Long Does the Securities Fraud Recovery Process Take?

Every situation is unique, and the time it will take to settle a case can vary significantly based on a case’s specific circumstances. However, most FINRA securities arbitration and investment litigation cases are settled within 12-24 months after the initial filing date.

What Types of Clients Does Oakes & Fosher Represent?

Our firm specializes in representing individual investors, corporations, trusts, pension plans, charitable organizations, and other entities.

Will My Arbitration Claim Be Confidential?

Most securities arbitration settlements are confidential. However, the award that the arbitrators issue is typically public, minus any personal details about the investor involved.

Case Results

$2.6 million

Arbitration awarded $2.6 million against two major brokerage firms on behalf of an elderly woman whose account was seriously mishandled. The investor recovered all of her losses and the settlement covered her attorneys’ fees as well.


A unanimous award of $1,403,500 was awarded against Royal Alliance Associates on behalf of a group of three California retired AT&T employees. The investors were defrauded after being encouraged to accept a lump sum retirement package, and then investing the retirement funds in self-serving speculative real estate investment trusts and unsuitable variable annuities.


A settlement of $1,341,280 was awarded to a Texas investor against Oppenheimer, a global brokerage and investment bank, after the investor’s brokerage account was excessively traded by two Oppenheimer brokers. The award included recovery of interest as well as attorneys’ fees.

Client Testimonials – Investment Fraud Lawyers

Our attorneys strive to provide our clients with the highest quality legal services regarding securities arbitration or investment litigation matters. We understand that losing an investment is difficult, and will work to help you through this time and do what it takes to recover your investment. We have helped hundreds of clients with their securities fraud matters. Read these testimonials from our clients who we represented in securities arbitration cases:


"I can’t even begin to thank you for winning my case and giving me another chance. You don’t know how much I appreciate you."

Karen L., Corona, CA

"Den and I are grateful to you and cannot imagine anybody being able to do a better job than you."

Elizabeth and Dennis H., Durham, NC

"Thank you for the wonderful news of the settlement. This is such a godsend for us... like a miracle. Thank you so much for all you’ve done."

Nancy P., N. Fort Myers, FL

“Thank you thank you thank you!! You made our whole year!! Maybe our lifetime!! I would say absolutely our whole lifetime!”

Harvey W. and Beverly B. Colorado Springs, CO

“We want to thank you for all you have done for us. It is very much appreciated. We will never forget you and thanks for making our life easier as we go forward toward the future.”

Fred L. Springfield, PA

“You and your firm did a tremendous job and I will give your name and contact information to anyone that I run into that has been taken advantage of by a stock broker. Thank you again for everything.”

Anthony and Betty Anne C. Long Island, NY

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St. Louis, MO 63144

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