Current Investigations

Jon Sugick Allegedly Recommends Commodities Not Approved By His Member Firm

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jon Sugick. According to his publicly available FINRA BrokerCheck report, Jon Sugick has been the subject of a customer dispute and FINRA sanction.…

Francisco Faraco Allegedly Executes An Unauthorized Bond Transaction

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Francisco Faraco. According to his publicly available FINRA BrokerCheck report, Francisco Faraco has been the subject of a customer complaint and a…

Daniel Irving Allegedly Marks Solicited Trades As Unsolicited

The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Daniel Irving. According to his publicly available FINRA BrokerCheck report, Daniel Irving has been the subject of a FINRA sanction. Daniel Irving is a…

Matthew Alan Morris Allegedly Cuts And Pastes Clients’ Signatures To Authorize Purchases Of Annuities

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Matthew Alan Morris. According to his publicly available FINRA BrokerCheck report, Matthew Alan Morris has been the subject of a FINRA sanction.…

Jeffrey Conklin Allegedly Writes A Series Of Bad Checks

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Jeffrey Conklin. According to his publicly available FINRA BrokerCheck report, Jeffrey Conklin has been the subject of a FINRA sanction. Jeffrey…

Sebastian Jimenez Allegedly Conceals Source Of Customer Deposits

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Sebastian Jimenez. According to his publicly available FINRA BrokerCheck report, Sebastian Jimenez has been the subject of a FIRNA sanction.…

Clarence McGill Barred By FINRA

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Clarence McGill. According to his publicly available FINRA BrokerCheck report, Clarence McGill has been the subject of a FINRA sanction. Clarence…

Steven Coffey Allegedly Issues Unsuitable Promissory Notes

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Steven Coffey. According to his publicly available FINRA BrokerCheck report, Steven Coffey has been the subject of a FINRA sanction. Steven Coffey…

Paul Soll Allegedly Breaches Contract

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Paul Soll. According to his publicly available FINRA BrokerCheck report, Paul Soll has been the subject of a customer dispute and a FINRA sanction.…

Robert Flanagan Allegedly Fails To Disclose Material Facts

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Robert Flanagan. According to his publicly available FINRA BrokerCheck report, Robert Flanagan has been the subject of a customer dispute and a FINRA…

Alternative Investment

Bradley Tennison Barred By FINRA Following Allegations Of Soliciting Funds For A Fraudulent Investment

The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Bradley Tennison. According to his publicly available FINRA BrokerCheck report, Bradley Tennison has been the subject of multiple customer disputes…