Over the last 12 years, Oakes & Fosher has tried and won more FINRA arbitration cases on behalf of individual investors than any other law firm in the country.

*Past results do not guarantee a similar outcome. The choice of a lawyer is an important decision and should not be based alone on prior results.

UBS Financial’s Yield Enhancement Strategy

The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Cara Paynter. According to her publicly available FINRA BrokerCheck report, Cara Paynter has been the subject of multiple customer disputes.

Cara Paynter is a California based securities broker. She has worked in the securities industry for fourteen years. During her career, she has worked for three different securities firms.

Her Registrations

  • Banc of America Investment Services (2004)
  • Wells Fargo (2004-2006, 2010-Present)
  • Northern Trust Securities (2006-2010)

The Allegations

  • In February 2018, customers alleged that Cara Paynter failed to follow their instructions and invested their funds prematurely. Her alleged actions led to losses in the customers’ account.
  • In April 2018, customers alleged that Cara Paynter recommended unsuitable securities. This case was settled for $25,000 in damages.

Oakes & Fosher Can Help

Many investors are unaware of the legal recourse available to them after losing money due to securities broker negligence and/or fraud. 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 Cara Paynter, please contact Oakes & Fosher for a free and private consultation. We handles cases on a contingency basis, which means there are no fees charged unless we collect for you.