The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Carter Brooks. Carter Brooks was a Virginia based securities broker. He worked in the securities industry for twenty-three years. During his career, he was registered with two different securities firms. He is no longer working as a registered securities broker in any fashion.
His Registrations
- Edward Jones (1994-2009)
- Wells Fargo Clearing Services (2009-2017)
The Allegations
- In July 2009, Carter Brooks was terminated from his position at Edward Jones. This followed allegations that he forged signatures in order to authorize the transfer of funds.
- In September 2017, Carter Brooks was terminated from his position at Wells Fargo Clearing Services following allegations that he received loans and gifts from a client in direct violation of the firm’s policies.
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 Carter Brooks, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis, which means there are no fees charged unless we collect for you.
