Current Investigations

August 20, 2018

Harold Connell Barred By FINRA Following Alleged Misrepresentation

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

August 20, 2018

Sean Brady Terminated From First Allied Securities Following Allegations Of Forgery

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

John Wade Allegedly Converts Over $100,000 From Multiple Elderly Customers

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

Bradley Gardner Resigns From LPL Financial

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

Christopher Wendel Allegedly Recommends Fraudulent Private Offerings Associated With Woodbridge

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

William D. Nelson Barred By FINRA

Oakes & Fosher is presently investigating the alleged misconduct of former securities broker William D. Nelson. According to his publicly available FINRA BrokerCheck report, William D. Nelson has been the subject of multiple customer complaints. William D.…

Donnell Bowen Allegedly Forges Numerous Customers’ Signatures

Oakes & Fosher is currently investigating the alleged misconduct of former securities broker Donnell Bowen. According to his publicly available FINRA BrokerCheck report, Donnell Bowen has been the subject of numerous customer disputes. Donnell Bowen was a…

Vincent Sciabica Allegedly Recommends An Unnecessary UIT Trading Strategy

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

Michael Mathias Allegedly Makes Unsuitable Investment Recommendations

Oakes & Fosher is presently investigating the possible misconduct of securities broker Michael Mathias. According to his publicly available FINRA BrokerCheck report, Michael Mathias has been the subject of numerous customer disputes over the course of his…

Joseph Krueger Terminated From Stifel, Nicolaus & Company

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

John J. Maloney Terminated From Edward Jones

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