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Oakes & Fosher

Dec 20
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James Crawford Allegedly Breaches His Fiduciary Duty

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker James Crawford. According to his publicly available FINRA BrokerCheck report, James Crawford has…
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Dec 20
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Multiple Customers Accuse Richard Cody Of Fraudulent Behavior

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Richard Cody. According to his publicly available FINRA BrokerCheck report, Richard Cody has…
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Dec 20
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Christopher Calandrino Allegedly Churns A Client’s Account

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Christopher Calandrino. According to his publicly available FINRA BrokerCheck report, Christopher Calandrino has…
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Dec 20
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Shane Kelly Terminated From LPL Financial Following Allegations Of Unsuitable And Excessive Unit Investment Trust Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Shane Kelly. According to his publicly available FINRA BrokerCheck report, Shane Kelly has…
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Dec 20
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Thomas Dunlap Terminated From AXA Advisors

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Thomas Dunlap. Thomas Dunlap was an Ohio based securities broker. He worked in the…
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Dec 20
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Paul Bustamante Terminated From Empire Asset Management Company

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Paul Bustamante. Paul Bustamante was a New York based securities broker. He worked in…
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Dec 20
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John Greg Schmidt Allegedly Converts Funds From Multiple Customers In Ponzi Like Scheme

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John Greg Schmidt. According to his publicly available FINRA BrokerCheck report, John Greg…
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Dec 20
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Benjamin Aibel Allegedly Places Customers In Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Benjamin Aibel. According to his publicly available FINRA BrokerCheck report, Benjamin Aibel has…
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Dec 18
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Michael McGregor Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Michael McGregor. According to his publicly available FINRA BrokerCheck report, Michael McGregor has…
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Dec 18
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Peter Torabkhan 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 securities broker Peter Torabkhan. According to his publicly available FINRA BrokerCheck report, Peter Torabkhan has been…
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