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    • Alternative Investments
      • Non-Traded REITs
      • Non-Traded BDCs
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    • FINRA Arbitration
    • Churning & Excessive Trading
    • Stockbroker Fraud
      • Elder Fraud
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Category

Current Investigations

Apr 23
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Highlands REIT

By Oakes & Fosher Alternative Investment, Current Investigations No Comments
The law firm of Oakes & Fosher is currently interested in hearing from investors who believe they were financially harmed by an investment called Highlands Real Estate Investment Trust, or…
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Apr 15
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Murray Roark Allegedly Over-Concentrates Customer Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Murray Roark. According to his publicly available FINRA BrokerCheck report, Murray Roark has been…
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Apr 15
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Enrique Lopez Allegedly Recommends Highly Unsuitable Non-Traded REITs

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Enrique Lopez. According to his publicly available FINRA BrokerCheck report, Enrique Lopez has been…
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Apr 15
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Peter Monson Allegedly Trades A Customer’s IRA Account Unsuitably

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fohser is presently investigating the alleged misconduct of securities broker Peter Monson. According to his publicly available FINRA BrokerCheck report, Peter Monson has been…
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Apr 13
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Antonio Puente Barred By FINRA Following Allegations Of Engaging In Outside Business Activities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Antonio Puente. Antonio Puente was a Florida based securities broker. He worked in…
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Apr 12
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Dan King Allegedly Recommends An Unsuitable Private Placement

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Dan King. According to his publicly available FINRA BrokerCheck report, Dan King has been…
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Apr 07
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Jeremy Rosen Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Jeremy Rosen. According to his publicly available FINRA BrokerCheck report, Jeremy Rosen has been…
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Apr 03
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Eladio Santiago Allegedly Mismanages His Customers’ Accounts

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Eladio Santiago. According to his publicly available FINRA BrokerCheck report, Eladio Santiago has been…
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Apr 03
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Michael Hood Allegedly Recommends Unsuitable Investments

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of securities broker Michael Hood. According to his publicly available FINRA BrokerCheck report, Michael Hood has been…
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Apr 03
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Shelley Eddy Allegedly Fails To Diversify Customer Portfolios

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