The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Andrew Mandell. According to his publicly available FINRA BrokerCheck report, Andrew Mandell has been the subject of a a FINRA sanction.
Andrew Mandell was a California based securities broker. He worked in the securities industry for twenty-three years. During his career, he was registered with seventeen different securities firms. He is no longer working as a registered securities broker in any fashion.
His Registrations
- A.S. Goldman & Co. (1992)
- Elliot, Allen & Co. (1992-1993)
- Westfield Financial Corporation (1993-1994)
- Robert Todd Financial Corp. (1994-1995)
- Rickel & Associates (1995)
- Buttonwood Securities (1995-1996)
- I.A. Rabinowitz (1996-1997)
- Magdensburg Securities (1996-1997)
- Ash Financial Corp (1997-1998)
- M.H. Meyerson & Co. (200-2003)
- Joseph Stevens & Company (2003-2004)
- Carlin Equities (2004-2007)
- RBC Capital Markets Corporation (2007-2008)
- The Vertical Group (2008-2014)
- Halcyon Cabot Partners (2014-2015)
- Olympus Securities (2015-2017)
- Network 1 Financial Securities (2017)
The Allegations
Andrew Mandell was officially sanctioned by FINRA in August 2018. This followed allegations that he failed to comply with a FINRA investigation into his potential violations of Section 5 of the Securities Act of 1933. Due to these allegations, he was barred by FINRA from acting as a securities broker in any fashion.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Andrew Mandell, please contact Oakes & Fosher for a free and private consultation.
