Current Investigations
Over 1,400 case summaries and investor alerts. Recent securities-fraud recoveries, regulatory news, and investigations.
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Current Investigations Phillip A. Noto II and Barry T. Eisenberg Censured by the Securities and Exchange Commission
Phillip A. Noto II and Barry T. Eisenberg were both censured by the Securities and Exchange Commission on June 29th, 2018. Both men are managers at a securities brokerage firm known as Alexander Capital L.P. Three of the firm’s brokers have been charged with…
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Current Investigations Lawrence Fawcett Allegedly Churns His Customers' Accounts
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Lawrence Fawcett. According to his publicly available FINRA BrokerCheck report, Lawrence Fawcett has been the subject of multiple customer disputes.…
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Current Investigations John H. Russell Allegedly Makes Fraudulent And Negligent Misrepresentations
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker John H. Russell. According to his publicly available FINRA BrokerCheck report, John H. Russell has been the subject of multiple customer disputes. John H.…
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Current Investigations Scott Palmer Allegedly Makes Numerous Unsuitable Investment Recommendations
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Scott Palmer. According to his publicly available FINRA BrokerCheck report, Scott Palmer has been the subject of numerous customer disputes. Scott…
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Current Investigations Domingo Gonzalez Allegedly Deposits Client's Check Into His Personal Account
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Domingo Gonzalez. According to his publicly available FINRA BrokerCheck report, Domingo Gonzalez has been the subject of a FINRA sanction Domingo…
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Current Investigations William Brunner Allegedly Churns Multiple Customers' Accounts
The law firm of Oakes & Fosher is currently investigating the possible misconduct of former securities broker William Brunner. According to his publicly available FINRA BrokerCheck report, William Brunner has been the subject of multiple customer disputes.…
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Current Investigations Laura Ortega Shean Barred by FINRA
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Laura Ortega Shean. According to her publicly available FINRA BrokerCheck report, Laura Ortega Shean has been the subject of a FINRA sanction. Laura…
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Current Investigations Ahmed Gheith Allegedly Engages In Unauthorized Private Securities Transactions
The law firm of Oakes & Fosher is currently investigating the possible misconduct of securities broker Ahmed Gheith. According to his publicly available FINRA BrokerCheck report, Ahmed Gheith has been the subject of a customer dispute and a FINRA sanction.…
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Current Investigations John Paul Mazza Allegedly Recommends Unsuitable Investments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker John Paul Mazza. According to his publicly available FINRA BrokerCheck report, John Paul Mazza has been the subject of multiple customer disputes.…
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Current Investigations Barry Wold Allegedly Charges Excessive Commissions
The law firm of Oakes & Fosher is currently investigating the possible misconduct of former securities broker Barry Wold. According to his publicly available FINRA BrokerCheck report, Barry Wold has been the subject of multiple customer disputes. Barry Wold…
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Current Investigations Ramon Herrera Allegedly Withdraws Customer Funds Without Permission
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Ramon Herrera. According to his publicly available FINRA BrokerCheck report, Ramon Herrera has been the subject of multiple customer complaints.…
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Current Investigations George Mathis Allegedly Recommends Unsuitable Securities
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker George Mathis. According to his publicly available FINRA BrokerCheck report, George Mathis has been the subject of multiple customer disputes. George Mathis…
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