Andrew Mandell Allegedly Violates Section 5 Of The Securities Act Of 1933

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.