Since 2007, Oakes and Fosher has won more cases on behalf of individual investors tried before full FINRA panels than any other attorney in the country.
WE ARE EXPERIENCED
Securities Fraud Attorneys
Who Help Investors Across the United States Win Disputes Against Stockbrokers & Brokerage Firms
Have you suffered losses at the hands of your stockbroker? Don’t let their negligence or misconduct define your financial future. Let us help you recover. Schedule a free consultation with our securities fraud attorneys today.
Skilled Investment Fraud Representation With a Track Record to Prove It
We’re the nation’s leading law firm dedicated to recovering investor losses caused by brokerage firms or financial advisors. See what sets us apart:
- Over the last 17 years, we have 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
Investment Fraud Cases We Handle
Stockbroker Fraud
Don’t let greed steal your hard-earned money. Stockbroker fraud, including elder fraud, Ponzi schemes, and conversion fraud, is complex and causes unnecessary hardship. If you suspect you’re a victim of a stockbroker’s wrongdoing, you’re not alone – we’ve helped thousands of investors nationwide recover what’s rightfully theirs.
Broker Negligence
Investment firms and their advisors should protect your funds, not put them at risk. If your broker failed to act in your best interest, causing financial loss, our securities fraud attorneys can help. We boast decades of experience holding negligent brokers accountable for breaching their fiduciary duty.
Alternative Investments
Did a promise of high returns mislead you? Alternative investments like non-traded REITs, non-traded BDCs, private placements, and promissory notes carry risk. Unlike stocks and bonds, these investment vehicles lack regulatory oversight, increasing the likelihood of mismanagement. If this scenario sounds familiar, we’ll help you recoup your losses.
Annuity & Insurance Fraud
While annuities and life insurance can be valuable retirement tools, advisors often misrepresent them as investments. As a result, they’re not suitable for everyone. If you’ve suffered financial losses due to annuity or insurance fraud, we have your back. Schedule a free consultation to discuss your legal options.
We Recover Losses
$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 attorney’s fees as well.
$1,403,500
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 invest the retirement funds in self-serving speculative real estate investment trusts and unsuitable variable annuities.
$1,341,280
A settlement of $1,341,280 was awarded to a Texas investor against Oppenheimer, a global brokerage and investment bank after two Oppenheimer brokers excessively traded the investor’s brokerage account. The award included recovery of interest as well as attorneys’ fees.
Look for These 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 That Recover What You’re Owed
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 country
- Recovered millions of dollars due to stockbroker misconduct and securities fraud
- Litigated cases against the vast majority of brokerage firms operating in the United States
Our securities arbitration attorneys and legal staff are well-equipped to handle your case professionally and confidentially. We base our legal fees entirely on whether we can recover for you.
Contact Us Today
Your Questions Answered
Some investors know they’re victims of securities fraud or negligence. In contrast, others don’t have the slightest notion that wrongdoing has taken place until they eventually notice an investment loss. If you think you may be a victim, our securities fraud lawyers will work quickly to identify what happened and devise a strategy to recover your losses.
Securities laws are complex and involve state and federal regulations, which can be challenging to understand without an attorney on your side. We’ll answer your questions about the Financial Industry Regulatory Authority (FINRA) arbitration process and how it applies to your case. You can be confident that we’ll aggressively pursue just compensation for your claim.
Client Testimonials
We 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’ve helped hundreds of clients with their securities fraud matters. See what our satisfied clients have to say:
READ MORE TESTIMONIALS
Case Types
Do You Suspect Investment Fraud? We Can Help
If you’re concerned about your account statements or trade confirmations, you have options. Follow the steps below to address your suspicions.
- Collect as much documentation as possible about the suspicious investment.
- Check your broker’s records. FINRA’s BrokerCheck lets you view a broker’s licensure, work history, and any complaints brought against them.
- Let a securities fraud lawyer develop a strategy. Our attorneys can help you understand state and federal securities laws and ideate the best approach to recovery. We’ll investigate your situation, determine what happened, and offer advice on recovering your investment.
Investment fraud victims deserve justice, and we’re here to help. Contact us today to discuss your situation and begin the process of financial recovery.
Investment Fraud FAQs
What is Securities Fraud?
Securities fraud, also known as financial advisor or stockbroker 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?
Private investors like stockbrokers or financial advisors commit securities fraud by knowingly providing unsuitable investments to clients based on inside information or misrepresenting products.
How Long Does the Securities Fraud Recovery Process Take?
Every situation is unique, and the time it takes to settle a case can vary significantly based on the specific circumstances. However, most FINRA securities arbitration and investment litigation cases settle 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.
Recent Oakes & Fosher News
Financial Planning: GPB Capital Arbitration Awards Piling up On Wealth Managers
After wealth managers helped sell scandal-plagued private placements to an estimated 4,000 seniors and 13,000 other retail clients, they’re getting hit with a steady stream of arbitration awards…
