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All Posts By

Oakes & Fosher

Nov 19
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Kevin Jedlicka Suspended By FINRA Following Allegations Of Instituting A Highly Unsuitable Short-Term Trading Strategy

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kevin Jedlicka. According to his publicly available FINRA BrokerCheck report, Kevin Jedlick has…
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Nov 18
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Paul Curnes Allegedly Violates Securities Laws

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Paul Curnes. According to his publicly available FINRA BrokerCheck report, Paul Curnes has been…
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Nov 14
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David McMillen Allegedly Recommends Unsuitable and Illiquid Securities

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker David McMillen. According to his publicly available FINRA BrokerCheck report, David McMillen has been…
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Nov 14
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Christopher Montgomery Allegedly Misrepresents Municipal Bonds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Christopher Montgomery. According to his publicly available FINRA BrokerCheck report, Christopher Montgomery has been…
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Nov 14
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Kwimin Ahn Terminated From Pruco Securities Following Allegations Of Reusing Client Signatures

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kwimin Ahn. According to his publicly available FINRA BrokerCheck report, Kwimin Ahn has…
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Nov 14
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Feisal Malik Allegedly Recommends Unapproved Equity Index Annuities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Feisal Malik. According to his publicly available FINRA BrokerCheck report, Feisal Malik has been…
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Nov 14
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John MacGowan Terminated From Raymond James

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John MacGowan. According to his publicly available FINRA BrokerCheck report, John MacGowan has…
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Nov 14
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Roger Price Allegedly Engages In Round Trip Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Roger Price. According to his publicly available FINRA BrokerCheck report, Roger Price has…
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Nov 14
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Matthew Werthe Allegedly Engages In Unauthorized Trading And Churning

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Matthew Werthe. According to his publicly available FINRA BrokerCheck report, Matthew Werthe has…
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Nov 14
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Adam Fetterman Allegedly Places Clients Into High Risk Investments Not Suitable For Them

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