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Oakes & Fosher

Jul 03
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Keith Simmons Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Keith Simmons. According to his publicly available FINRA BrokerCheck report, Keith Simmons has been…
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Jul 03
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Thomas Kieffer Allegedly Breaches His Fiduciary Duty

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Thomas Kieffer. According to his publicly available FINRA BrokerCheck report, Thomas Kieffer has been…
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Jul 03
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Charles Euler Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Charles Euler. According to his publicly available FINRA BrokerCheck report, Charles Euler was the…
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Jun 29
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LPL Financial Sanctioned Due To Alleged Unsuitable Non-Traded REIT And Leveraged ETF Sales

By Oakes & Fosher Current Investigations No Comments
Oakes & Fosher is currently interested in hearing from customers of the independent broker dealer, LPL Financial, that believe they experienced losses due to purchasing non-traded real estate investment trust…
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Jun 23
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David Weisberg Sanctioned By FINRA For Allegedly Excessively Trading Customers’ Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker David Weisberg. According to his publicly available FINRA BrokerCheck report, David Weisberg was the…
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Jun 15
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Jeffrey Labelle Allegedly Recommended Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Jeffrey Labelle. According to his publicly available FINRA BrokerCheck report, Jeffrey Labelle had been…
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Jun 15
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James Parrelly Suspended By FINRA For Allegedly Engaging In Unauthorized Discretionary Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker James Parrelly. According to his publicly available FINRA BrokerCheck report, James Parrelly has been…
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Jun 08
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Gregory Tucker Allegedly Over-Concentrates Customer Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Gregory Tucker. According to his publicly available FINRA BrokerCheck report, Gregory Tucker has been…
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May 28
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Dana Vietor Allegedly Fails To Disclose Promissory Note Sales

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Dana Vietor. According to his publicly available FINRA BrokerCheck report, Dana Vietor had been…
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May 28
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Scott Kozak Sanctioned By FINRA For Allegedly Soliciting Private Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is currently investigating the alleged misconduct of securities broker Scott Kozak. According to his publicly available FINRA BrokerCheck report, Scott Kozak had been…
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