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Category

Current Investigations

Sep 13
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Eric Stubbe Allegedly Recommended Highly Unsuitable Puerto Rico Municipal Bonds And Closed-End Funds

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Eric Stubbe. According to his publicly available FINRA BrokerCheck report, Eric Stubbe has…
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Sep 13
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Floyd Powell Allegedly Recommends A Fraudulent Woodbridge Investment Fund

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Floyd Powell. According to his publicly available FINRA BrokerCheck report, Floyd Powell has…
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Sep 12
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Jun Zhou Recently Discharged From The Leaders Group For Alleged Unreported 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 Jun Zhou. According to her publicly available FINRA BrokerCheck report, Jun Zhou has…
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Sep 12
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Jason Brienen Discharged From Raymond James Financial Services

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Jason Brienen. According to his publicly available FINRA BrokerCheck report, Jason Brienen has…
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Sep 12
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Mitchell Rock Allegedly Recommends Unsuitable Securities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Mitchell Rock. According to his publicly available FINRA BrokerCheck report, Mitchell Rock has been…
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Sep 12
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Daniel Gamache Allegedly Makes Unsuitable Recommendations

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Daniel Gamache. According to his publicly available FINRA BrokerCheck report, Daniel Gamache has…
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Sep 11
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Dennis Contrestano Terminated From RBC Capital Markets For Unauthorized Use of Discretion

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of securities broker Dennis Contrestano. According to his publicly available FINRA BrokerCheck report, Dennis Contrestano has been…
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Sep 11
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Justin Mair Allegedly Converts Customer’s Funds To Pay His Electric Bill

By Oakes & Fosher Current Investigations No Comments
Justin Mair was a New York based securities broker who worked in the securities industry for seven years. During his career, he was registered with four different securities firms. His…
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Sep 11
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Ellen Vratoric Allegedly Engages In A Pattern Of Recommending Unsuitable Annuities

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Ellen Vratoric. According to her publicly available FINRA BrokerCheck report, Ellen Vratoric has…
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Sep 11
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Juergen Weber Barred By FINRA Following Allegations Of Unauthorized Trading

By Oakes & Fosher Current Investigations No Comments
The law firm of Oakes & Fosher is presently investigating the possible misconduct of former securities broker Juergen Weber. According to his publicly available FINRA BrokerCheck report, Juergen Weber has…
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