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Oakes & Fosher

Aug 30
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Terrence Fant Allegedly Breaches His Fiduciary Duty

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Terrence Fant. According to his publicly available FINRA BrokerCheck report, Terrence Fant has been…
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Aug 30
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Jeannette Adcock Allegedly Misleads Customers

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Jeannette Adcock. According to her publicly available FINRA BrokerCheck report, Jeannette Adcock has been…
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Aug 30
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Stephen Hoshimi Terminated From Crescent Securities For Allegedly Engaging In Unapproved Outside Business Activities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Stephen Hoshimi. According to his publicly available FINRA BrokerCheck report, Stephen Hoshimi has…
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Aug 30
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William Rossi III Allegedly Breaches His Fiduciary Duty

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker William Rossi III. According to his publicly available FINRA BrokerCheck report, William Rossi III…
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Aug 30
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Michael Clarke Allegedly Converts Almost $600,000 In A Fraudulent Investment Scheme

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Michael Clarke. According to his publicly available FINRA BrokerCheck report, Michael Clarke has been…
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Aug 30
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Atiq Urrehman Khan Terminated From Transamerica Financial Advisors

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Atiq Urrehman Khan. According to his publicly available FINRA BrokerCheck report, Atiq Urrehman…
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Aug 30
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James Stowell Suspended For Allegedly Liquidating A Customer’s Mutual Fund Without Authorization

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker James Stowell. According to his publicly available FINRA BrokerCheck report, James Stowell has…
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Aug 28
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Michael Kemp Allegedly Engages In Unauthorized Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Michael Kemp. According to his publicly available FINRA BrokerCheck report, Michael Kemp has been…
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Aug 28
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Bryon Martinsen Allegedly Recommends Unsuitable Securities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Bryon Martinsen. According to his publicly available FINRA BrokerCheck report, Bryon Martinsen has been…
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Aug 28
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Oakes & Fosher Convinces FINRA Arbitrators To Order Trustmont Financial To Pay Client $1 Million In Damages

By Oakes & Fosher Oakes & Fosher in the News No Comments
FINRA Arbitrators Order Pennsylvania Brokerage To Pay Client $1 Million In Damages By Sarah Min | August 23, 2018 Financial Industry Regulatory Authority Inc. arbitrators ordered Pennsylvania-based Trustmont Financial Group…
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