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.