Current Investigations

Joshua Stamm Allegedly Takes Part In Unauthorized Private Securities Transactions

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Joshua Stamm. According to his publicly available FINRA BrokerCheck report, Joshua Stamm has been the subject of multiple sanctions. Joshua Stamm was…

Kelly Barnett Allegedly Executes Unauthorized Trades

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

Robert Newman Allegedly Exercises Discretion Without The Proper Authorization

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

Michael Swingle Allegedly Solicits $118,500 In Loans From Customers To Pay Off Gambling Debts

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

Alex Herrera Allegedly Converts Customer Funds

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

Devin Wicker Allegedly Converts Customer Funds To Pay For His Company's Operating Costs

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

Mitchell Kurtz Allegedly Engages In Unauthorized Outside Business Activities

The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Mitchell Kurtz. According to his publicly available FINRA BrokerCheck report, Mitchell Kurtz has been the subject of multiple disputes that include…

Cheryl George Suspended By FINRA

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

Richard Gomez Allegedly Defrauds Investors Out Of Almost Half A Million Dollars

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

Scott Mass Allegedly Recommends Unsuitable Puerto Rico Bonds

The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Scott Mass. According to his publicly available FINRA BrokerCheck report, Scott Mass has been the subject of multiple customer disputes. Scott Mass is a New…

John Tao Allegedly Recommends Unsuitable Leveraged ETFs

The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker John Tao. According to his publicly available FINRA BrokerCheck report, John Tao has been the subject of multiple customer disputes. John Tao is a Florida…