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Oakes & Fosher

Jan 13
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Neil Fineman Barred By FINRA Following Allegations Of Engaging In Unapproved Private Securities Transactions

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Neil Fineman. According to his publicly available FINRA BrokerCheck report, Neil Fineman has…
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Jan 03
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Charles Frieda Barred By FINRA After Allegedly Recommending Unsuitable Energy Sector Securities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Charles Frieda. According to his publicly available FINRA BrokerCheck report, Charles Frieda has…
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Jan 03
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Mark Plummer Allegedly Misappropriates Almost $400,000 Of Investor Funds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Mark Plummer. According to his publicly available FINRA BrokerCheck report, Mark Plummer has…
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Jan 02
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Carter Brooks Terminated From Both Edward Jones And Wells Fargo Clearing Services

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Carter Brooks. Carter Brooks was a Virginia based securities broker. He worked in…
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Jan 02
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Dawei Wang Discharged From Merrill Lynch

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Dawei Wang. Dawei Wang was a California based securities broker. He worked in…
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Jan 02
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Matt Neas Allegedly Charges Excessive Commissions

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Matt Neas. According to his publicly available FINRA BrokerCheck report, Matt Neas has…
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Jan 02
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Deanne Lampe Discharged From Morgan Stanley Following Allegations Of Reusing Customer Signatures

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Deanne Lampe. Deanne Lampe was a New Jersey based securities broker. She worked…
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Jan 02
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R. Barry Jones Allegedly Exercises Discretion In Non-Discretionary Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker R. Barry Jones. According to his publicly available FINRA BrokerCheck report, R. Barry…
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Jan 02
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David Braeger Allegedly Converts $30,000 From Member Firm Customers For His Own Personal Use

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Braeger. According to his publicly available FINRA BrokerCheck report, David Braeger has…
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Jan 02
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Cory Bataan Allegedly Engages In Unauthorized Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Cory Bataan. According to his publicly available FINRA BrokerCheck report, Cory Bataan has…
Read More
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