Some FINRA-licensed brokerage firms sold investments in private placements sponsored by Walton Holdings. These investments were particularly speculative, with high enumerated and hidden costs. Investors in Walton Land Fund 3…
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The Financial Industry Regulatory Authority (FINRA) provides a forum for mediation and arbitration to resolve disagreements and protect investors. In general, a dispute based on your financial advisor’s misconduct could…
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The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Dennis Fearing. According to his publicly available FINRA BrokerCheck report, Dennis Fearing has been…
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What to Do When Your Stockbroker Recommends Unsuitable Investments The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker John Kevin Egan, who recommended…
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New secondary market pricing on the Priority Income Fund of $7.50 per share reflects that the sponsor’s NAV is roughly 40% too high. Recent transactions in the secondary trading market…
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Oakes and Fosher files a new arbitration against Centaurus Financial for the actions of stockbroker John Starke. Oakes and Fosher, LLC has initiated a new FINRA arbitration against Centaurus Financial…
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Oakes and Fosher is investigating Rene Javier Castro with Great Point Capital and previously with Center Street Securities for the sale of GWG Bonds. Rene Javier Castro was recently the…
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Sagepoint Financial’s Cynthia Komarek barred by FINRA and is the subject of four customer complaints. Merrill Lynch employed Ms. Cynthia Komarek from 1991- 2008. She then became registered with Wells…
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Oakes & Fosher is currently investigating FINRA-licensed stockbrokers who have sold GNMA, FNMA, FHLMC, and other mortgage bonds as short-term investments based on early payoff assumptions. With the rise in…
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Oakes & Fosher is currently investigating FINRA brokerage firms, such as ONESCO and stockbrokers, that recommend moving from a traditional investment into a Variable or Fixed Whole Life Insurance Product. …
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