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Category

Current Investigations

Oct 23
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Kevin Palmer Terminated From First Allied Securities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Kevin Palmer. According to his publicly available FINRA BrokerCheck report, Kevin Palmer has…
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Oct 23
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Brian Rieman Allegedly Makes Unsuitable Recommendations

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Brian Rieman. According to his publicly available FINRA BrokerCheck report, Brian Rieman has been…
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Oct 23
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Richard Minichino Discharged From Next Financial Group

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Richard Minichino. According to his publicly available FINRA BrokerCheck report, Richard Minichino has…
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Oct 23
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Eugene Freund Allegedly Recommends High Risk Municipal Bonds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Eugene Freund. According to his publicly available FINRA BrokerCheck report, Eugene Freund has…
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Oct 22
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Daniel Fischer Barred By The Securities And Exchange Commission

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Daniel Fischer. According to his publicly available FINRA BrokerCheck report, Daniel Fischer has…
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Oct 22
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Karen Paek Allegedly Submits Fictitious Annuity Applications

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Karen Paek. According to her publicly available FINRA BrokerCheck report, Karen Paek has…
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Oct 22
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Theodore Hart Allegedly Mismanages A Customer’s Account

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Theodore Hart. According to his publicly available FINRA BrokerCheck report, Theordore Hart has been…
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Oct 22
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William Michael Robertson Allegedly Fails To Disclose Associated Risks

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker William Michael Robertson. According to his publicly available FINRA BrokerCheck report, William Michael…
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Oct 22
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David Manor Allegedly Makes Material Misrepresentations

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David Manor. According to his publicly available FINRA BrokerCheck report, David Manor has…
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Oct 22
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James Duffy Allegedly Recommends Unsuitable Puerto Rico Municipal Bonds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker James Duffy. According to his publicly available FINRA BrokerCheck report, James Duffy has been…
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