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Category

Current Investigations

Jan 02
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Colin Hammer Allegedly Exercises 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 securities broker Colin Hammer. According to his publicly available FINRA BrokerCheck report, Colin Hammer has been…
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Jan 02
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Sandeep Varma Allegedly Makes Highly Unsuitable Recommendations

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Sandeep Varma. According to his publicly available FINRA BrokerCheck report, Sandeep Varma has been…
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Dec 30
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Melvin Case Pleads Guilty To Felony Charges Of ‘Exploitation Of Aged Adult’

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Melvin Case. According to his publicly available FINRA BrokerCheck report, Melvin Case has…
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Dec 30
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Richard Charles Foster Allegedly Makes A Highly Unsuitable Investment Recommendation

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Richard Charles Foster. According to his publicly available FINRA BrokerCheck report, Richard Charles…
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Dec 30
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Jonathan Heise Allegedly Uses Privileged Information To Solicit Clients

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jonathan Heise. He was a Florida based securities broker. He worked in the securities…
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Dec 30
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Kevin Scott Woolf Barred By FINRA Following Allegations Of Engaging In Undisclosed Outside Business Activities

By Oakes & Fosher Current Investigations No Comments
Kevin Scott Woolf was a Florida based securities broker. He worked in the securities industry for just three years. He spent his entire career registered with Morgan Stanley. He is…
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Dec 30
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Joseph Farah Allegedly Engages In Unapproved Outside Business Activities

By Oakes & Fosher Current Investigations No Comments
Joseph Farah was a California based securities broker. He worked in the securities industry for seventeen years. During his career, he was registered with three different securities firms. His registrations…
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Dec 30
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Charles Albert Dixon Allegedly Exercises Discretion Without Proper Authorization

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Charles Albert Dixon. According to his publicly available FINRA BrokerCheck report, Charles Albert…
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Dec 29
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Matthew Kerby Allegedly Converts Customer Funds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Matthew Kerby. According to his publicly available FINRA BrokerCheck report, Matthew Kerby has…
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Dec 29
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Guillermo William Valladolid Allegedly Improperly Sold Investments Away From His Member Firm

By Oakes & Fosher Current Investigations No Comments
Guillermo William Valladolid was a California based securities broker. He worked in the securities industry for six years. During his career, he was registered with two different securities firms. They…
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