The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Bernardo Misseri. According to his publicly available FINRA BrokerCheck report, Bernardo Misseri has been the subject of multiple customer disputes.
Bernardo Misseri was a New York based securities broker. He worked in the securities industry for fifteen years. During his career, he was registered with seven different securities firms. He is no longer working as a registered securities broker in any fashion.
His Registrations
- LCP Capital Corp. (1998)
- R.D. White & Co. (1998-1999)
- Benson York Group (1999-2000)
- J.P. Turner & Company (2000-2002)
- McGinn, Smith & Co. (2002-2003)
- J.P. Turner & Company (2003-2006)
- Legend Securities (2009-2016)
The Allegations
- In September 2013, a customer alleged that Bernardo Misseri executed unauthorized transactions. This case was settled for $45,000 in damages.
- In October 2014, a customer alleged that Bernardo Misseri mismanaged their investments. This case is currently pending. The customer is seeking $48,487 in damages.
- In April 2015, a customer alleged that Bernardo Misseri made false statements of material fact, executed unauthorized transactions, failed to follow instructions, engaged in churning, engaged in stock manipulation, and improperly utilized margin. This case went to arbitration where the customer was awarded an undisclosed amount in damages.
- In March 2016, a customer alleged that Bernardo Misseri made unsuitable recommendations, failed to diversify their portfolio, managed their account negligently, breached his fiduciary duty, and breached contract. This case went to arbitration where the customer was awarded $50,000 in damages.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Bernardo Misseri, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.
