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Oakes & Fosher

Jan 23
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Stuart Pearl Terminated From Ameriprise Financial Services Following Allegations Of Exercising 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 Stuart Pearl. According to his publicly available FINRA BrokerCheck report, Stuart Pearl has…
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Jan 23
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Walter Marino Allegedly Recommends Highly Unsuitable Annuity Switches

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Walter Marino. According to his publicly available FINRA BrokerCheck report, Walter Marino has…
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Jan 23
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John Crumb Allegedly Engages In Unapproved Business Activities Away From His Member Firm

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker John Crumb. According to his publicly available FINRA BrokerCheck report, John Crumb has…
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Jan 23
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Scott Wallach Allegedly Misrepresents Commissions

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Scott Wallach. According to his publicly available FINRA BrokerCheck report, Scott Wallach has been…
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Jan 23
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Ryan Paugh Allegedly Recommends Unregistered Securities To Multiple Customers

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Ryan Paugh. Ryan Paugh was an Ohio based securities broker. He worked in…
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Jan 23
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Robert Delguercio Allegedly Executes Unauthorized Transactions

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Robert Delguercio. According to his publicly available FINRA BrokerCheck report, Robert Delguercio has…
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Jan 23
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Steven John Meyer Was Barred By FINRA Following Allegations Of Churning

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Steven John Meyer. According to his publicly available FINRA BrokerCheck report, Steven John…
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Jan 23
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Kenneth Neuner Allegedly Exercises Discretion In A Non-Discretionary Account

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kenneth Neuner. Kenneth Neuner was a Texas based securities broker. He worked in the…
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Jan 23
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Clement Chichester 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 Clement Chichester. According to his publicly available FINRA BrokerCheck report, Clement Chichester has…
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Jan 23
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Leslie Markus Jr. Allegedly Executes Numerous Unauthorized Transactions

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