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Securities Blog

Oct 19
0
Dennis Fearing Allegedly Over Concentrates in Private Investments - Oakes & Fosher Law

Dennis Fearing Allegedly Overconcentrates In Privately Traded Products

By Oakes & Fosher | Alternative Investment, Current Investigations | No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Dennis Fearing. According to his publicly available FINRA BrokerCheck report, Dennis Fearing has been...
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Oct 09
0
What to do when your stockbroker recommends unsuitable investments - John Egan - Oakes & Fosher Law

John Egan Allegedly Recommends Unsuitable Investments

By Oakes & Fosher | Alternative Investment, Current Investigations | No Comments
What to Do When Your Stockbroker Recommends Unsuitable Investments The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker John Kevin Egan, who recommended...
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Sep 29
0
Net Asset Value Calculation: The Priority Income Fund - Oakes & Fosher Law

Net Asset Value Calculation: Priority Income Fund

By Oakes & Fosher | Alternative Investment, Current Investigations | No Comments
New secondary market pricing on the Priority Income Fund of $7.50 per share reflects that the sponsor’s NAV is roughly 40% too high.  Recent transactions in the secondary trading market...
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Sep 20
0
Centaurus Financial lawsuit from the actions of broker John Starke - Oakes & Fosher LLC - man checking the stock market on his phone and laptop

Centaurus Financial Lawsuit: Holding John Starke Accountable

By Oakes & Fosher | Alternative Investment, Current Investigations | No Comments
Oakes and Fosher files a new arbitration against Centaurus Financial for the actions of stockbroker John Starke.  Oakes and Fosher, LLC has initiated a new FINRA arbitration against Centaurus Financial...
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Aug 28
0
Rene Javier Castro & The Sale of GWG Bonds | Oakes & Fosher, LLC

Rene Javier Castro & The Sale of GWG Bonds

By Oakes & Fosher | Current Investigations, Investment Fraud | No Comments
Oakes and Fosher is investigating Rene Javier Castro with Great Point Capital and previously with Center Street Securities for the sale of GWG Bonds. Rene Javier Castro was recently the...
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Aug 21
0
Cynthia Komarek barred by the FINRA | Oakes & Fosher

Cynthia Komarek Barred by the FINRA

By Oakes & Fosher | Broker Negligence | No Comments
Sagepoint Financial’s Cynthia Komarek barred by FINRA and is the subject of four customer complaints.  Merrill Lynch employed Ms. Cynthia Komarek from 1991- 2008. She then became registered with Wells...
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Aug 17
0
mortgage bonds as short-term investments - Oakes & Fosher, LLC

Mortgage Bonds as Short-Term Investments

By Oakes & Fosher | Broker Negligence | No Comments
Oakes & Fosher is currently investigating FINRA-licensed stockbrokers who have sold GNMA, FNMA, FHLMC, and other mortgage bonds as short-term investments based on early payoff assumptions.  With the rise in...
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Aug 14
0
Is whole life insurance a good investment for retirement? Oakes & Fosher, LLC, is actively pursuing FINRA arbitration against stockbrokers and firms for misguiding investors.

Is Whole Life Insurance a Good Investment for Retirement?

By Oakes & Fosher | Broker Negligence, Current Investigations | No Comments
Oakes & Fosher is currently investigating FINRA brokerage firms, such as ONESCO and stockbrokers, that recommend moving from a traditional investment into a Variable or Fixed Whole Life Insurance Product. ...
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Aug 09
0
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The Alleged Broker Misconduct of B. David Goldstein

By Oakes & Fosher | Alternative Investment, Current Investigations | No Comments

The law firm of Oakes & Fosher is presently investigating the alleged broker misconduct of B. David Goldstein. According to his publicly available FINRA BrokerCheck report, B. David Goldstein has…

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Aug 04
0
FINRA arbitration law firm Oakes & Fosher brings a claim against Northland Securities broker Robert Herje. Photo of a computer screen displaying stock market analyses

FINRA Arbitration Law Firm Oakes & Fosher Fights Northland Securities Broker Robert Herje

By Oakes & Fosher | Alternative Investment | No Comments
FINRA Arbitration Law Firm Oakes & Fosher brings an arbitration against Northland Securities for the actions of broker Robert Herje Robert Herje has been a licensed broker with Northland Securities...
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  • Practice Areas
    • Alternative Investments
      • Non-Traded REITs
      • Non-Traded BDCs
      • Private Placements
      • Promissory Notes
    • FINRA Arbitration
    • Churning & Excessive Trading
    • Stockbroker Fraud
      • Elder Fraud
      • Ponzi Scheme
      • Conversion
    • Annuity and Insurance Fraud
      • Equity Indexed Annuity
      • Variable Annuity
      • Variable Life Insurance
      • Whole Life Insurance
    • Broker Negligence
  • About Us
    • Bruce D Oakes
    • Richard B Fosher
    • Paralegals & Staff
  • Our Results
    • Awards & Settlements
    • Testimonials
  • Resources
    • Blog
    • Current Investigations
    • In the News
    • Securities Fraud Resources
  • Contact