Current Investigations

August 9, 2018

Xavier Patino Suspended By FINRA And Terminated From J.P. Morgan

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

Erik Littlejohn Allegedly Fails To Disclose Associated Risks

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

Randy Carpen Allegedly Engages In Excessive Trading

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

Michael Pepe Allegedly Executes Unauthorized Trades

The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Michael Pepe. According to his publicly available FINRA Broker Check report, Michael Pepe has been the subject of multiple customer disputes over the course…

Robert Cleary Allegedly Breaches Contract

The law firm of Oakes & Fosher is currently investigating the possible misconduct of securities broker Robert Cleary. According to his FINRA BrokerCheck report, Robert Cleary has been the subject of multiple customer complaints throughout his career. Robert…

Alternative Investment

Walter Parker Allegedly Recommends The Fraudulent UDF IV Fund

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

FINRA Suspends Arthur Meunier For Two Years and Fines Him $20,000

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

John Galinsky Allegedly Omits Material Facts

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

Wolf Popper Allegedly Distributes False Information Regarding Variable Annuities

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

August 6, 2018

Mason Gann Allegedly Engages In Churning

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

August 6, 2018

Brent Van Lott Terminated from LPL Financial and Suspended by FINRA

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